Export Control

Policy number: 10.19

Policy section: Research

Revised Date:

1. Definitions

Definitions of capitalized terms used herein are set forth in Appendix A.

2. Purpose

The purpose of this policy is to ensure the University is compliant with U.S. export control laws and the statutes and regulations that govern certain transactions having an international component. These include:

Transfers of commodities, software, and technologies subject to the Export Administration Regulations (EAR) to non-US persons and destinations
Transfers of hardware, software, technical data, and services subject to the International Traffic in Arms Regulations (ITAR) to non-U.S. persons and destinations
Transactions involving countries and entities subject to U.S. Government economic sanctions implemented by the Foreign Assets Control Regulations

The purpose of export controls regulations is to protect national security and promote the foreign policy objectives of the U.S. and its allies by controlling the transfer of goods, technologies, services, and money to non-U.S. persons and locations.

3. Policy Statement

Although many university activities subject to federal export control laws can be carried out without prior written authorization (a “license”) from one or more U.S. government agencies, a license may be required to carry out certain research, academic, educational or other university activities involving specified technologies or persons/entities from certain countries. This policy is intended to provide guidance to faculty, staff, or students who are involved in proposed research or academic, educational or other activities that may fall within the scope of export control requirements.

4. Potential Restricted University Activity

Before engaging in activities that involve an export, members of the University community must understand and identify any potential export requirements and limitations. Export control laws and regulations restrict two principal areas of activity:

the shipment, transmission or transfer of certain items, software, technology, and services from the U.S. to foreign countries; and
the disclosure or transfer of certain items, software, technology, information, or materials to Foreign Persons located in the U.S. (a “Deemed Export”). In addition, economic sanctions laws and regulations restrict certain transactions subject to U.S. sanctions, such as providing certain goods or services to sanctioned or embargoed countries or to entities or individuals identified on any Restricted Parties screening lists including those on the List of Specially Designated Nationals and Blocked Persons (SDN List).

5. Disclosure of Potential Export Control Requirements

Research personnel should consult the SMU Export Control Officer (ECO) prior to engaging in any activities subject to export controls, such as:

When sponsors attempt to impose publication or personnel access restrictions on research activities
Before receiving export-controlled technical information from an outside party, such as an industry or U.S. government research sponsor
When documents from sponsors or other parties refer to the EAR, the ITAR, or export controls generally
Before accepting hardware, software, technology, or technical data from an outside party (such as an industry sponsor) to be used in a project as part of an instructional course
Before exporting from the U.S. any technologies, equipment, materials or chemical or biological agents (including toxins and genetic elements) on the EAR’s Commerce Control List
Before handling or exporting from the U.S. any hardware, software, technical data, or services subject to the ITAR
Before traveling to an embargoed country or region including, without limitation, the following: Crimea, Donetsk, and Luhansk regions of Ukraine; Cuba; Iran; North Korea; Sudan (North); or Syria

In general, export controls must be considered when the above activities are anticipated in a potential project or program. In addition, members of the University community should consider whether hardware, software, or technical data to be received from third parties, including from research sponsors and/or the government, may trigger export control requirements, even if the research to be conducted at the university is covered by an exception. Members of the University community shall not store Export-Controlled Data in cloud-based applications, such as Google Drive.

6. Responsible Parties

All members of the University community have responsibility for complying with export control laws that apply to their work as faculty and staff at the university and to their studies at SMU.

Principal Investigator/Project Leader
The primary responsibility for compliance with export control laws, regulations, sponsored research agreements, and this policy rests with the Principal Investigator (PI) or Project Leader (PL), as the individual most informed about the project. The PI must:
1. Comply with applicable laws, this policy, and with all related guidance and procedures provided by ORI;
2. Contact Export Control Officer if the PI notices any potential export control issue or has any questions whether such laws and this policy apply to the proposed or existing project;
3. Work with the Office of Research and Innovation, Office of Information Technology (OIT) and Office of Legal Affairs (OLA) to review data use agreements and maintain SMU’s ability to comply with technical requirements. In addition, the PI must follow contractual requirements for data security that apply to data in their custody and ensure others with access to secured data follow contractual requirements;
4. Not store Export-Controlled Data in cloud-based applications, such as Google Drive;
5. Work with the sponsor or other parties and ORI and OLA to design an agreement, scope of work, academic or educational activity or other project that enables the university to remain within the Fundamental Research Exemption, or other applicable exemption or exclusion from export control licensing requirements, and to understand other export control laws that restrict providing goods or services to individuals, groups or countries subject to U.S. sanctions including in particular, Cuba, Iran, Sudan (North), North Korea, Syria, Crimea, Donetsk, and Luhansk regions of Ukraine and others as specified by the Office of Foreign Assets Control (OFAC); and
6. Work with the sponsor and ECO to develop a Technology Control Plan (TCP) if ORI determines a TCP is needed. The TCP will describe limits to access export controlled items and information.
Export Control Officer

Through the Office of Research and Innovation (ORI), the Vice Provost for Research and Chief Innovation Officer will appoint the Research Compliance Director to serve as the Export Control Officer (ECO) to oversee and assist the university community in complying with export control laws and pursuing applicable licenses from U.S. Government agencies. Obtaining required licenses is often a lengthy process, and the university community is encouraged to contact the ECO early in the project development process for guidance.

7. Export Control Exemptions

Many activities at the university are exempt from U.S. export control laws and regulations under the Fundamental Research Exemption (FRE) or another export control exemption. Research covered under the FRE, as defined and explained in the EAR and the ITAR, is not subject to the EAR or the ITAR. Generally, exports of data and information resulting from research qualifying for the FRE do not require licenses or other authorization, and other restrictions ordinarily imposed by the Export Administration Regulations (EAR) and the International Traffic in Arms Regulations (ITAR) do not apply. Because of the importance of the FRE to activities at the university, a description of the FRE follows.

A. Fundamental Research Exemption (FRE)

Research eligible for the FRE is basic and applied research in science and engineering, where the resulting information is ordinarily published and shared broadly within the scientific community. Whenever possible, the university structures its projects to qualify for the FRE. PIs, PLs and others involved in identifying and negotiating research or educational, academic or other university opportunities should make every effort to ensure that the FRE applies to their projects.

To qualify for the FRE, the research sponsor must not impose, and the university researcher must not accept any restrictions on the publication of the scientific or technical results of the research performed at the university. The FRE does not apply to cases in which the university accepts national security controls on its research, including:

Requirements for prepublication review and approval by the sponsor and/or the U.S. Government, with right to withhold permission for publication;
Restrictions on prepublication dissemination of information to non- U.S. citizens or other categories of persons; or
Restrictions on participation of non-U.S. Persons or other categories of persons in the research.

If the university accepts these restrictions on a particular project:

The FRE would not apply, and the project would be subject to U.S. export controls that would otherwise not apply; and
Project personnel would need to analyze all proposed exports or transfers of project-related materials to Foreign Persons–including technical data related to the design, methodology, results and analysis of the project–to ensure export compliance, including determining whether a license is required.

Note that certain temporary publication restrictions do not prevent the university from relying upon the FRE. The temporary restrictions that do not remove a project from the FRE include prepublication reviews:

Research papers to verify that the publication will not release proprietary information that the sponsor has furnished to the researchers;
Certain multi-site clinical trials with a requirement for a publication committee to review data from participating sites and make decisions about joint publications; and
Research papers to verify that the publication would not compromise patent rights, so long as the review causes no more than a reasonable and temporary delay in publication of the research results. To preserve the FRE, the university generally does not agree to conduct research with parties that impose proprietary data restrictions unless the other party first agrees that no data subject to export controls will be provided without prior written notice and prior written approval of the university.

Although exemptions to export control laws apply to many of the university’s activities, some activities may be restricted. Failure to comply with these laws exposes both the individuals involved and the university to severe criminal and civil penalties as well as administrative sanctions (loss of research funding and export privileges). Additionally, the university may take administrative actions consistent with applicable university policies up to and including termination or expulsion of faculty, staff, and students.

B. FRE Projects with Supplied Materials or Planned Exports

Even if a project is covered by the FRE, materials a sponsor or other third party may provide to initiate and/or support the project (that serve as inputs to the project), including hardware, software, and technical data, are still subject to U.S. export controls and may require export licenses or authorizations to provide to Foreign Persons. Similarly, U.S. export controls still apply to all hardware and software exported from the U.S., and an export license may be required even if the hardware or software is being exported to support an FRE project. For example, U.S. export control laws would apply to the export of hardware to an international research collaborator, even if the underlying project is covered under the FRE.

C. Projects that Do Not Qualify for FRE

It is possible that some research projects will not qualify for the FRE. In such cases, the ECO will inform the PI that the FRE will not apply to the project and will work with the PI and appropriate university offices to determine whether other exemptions or exclusions apply to enable the university to undertake the research project without requiring a license. If another exemption or exclusion is available, ORI will inform the PI and will advise whether a TCP or additional measures must still be put in place for the project to ensure export compliance. In such cases, ORI will work with the PI to develop a TCP. However, if the FRE and other exemptions or exclusions are not available, ORI will inform the PI accordingly. If a license appears to be required, the Executive Director of Research Integrity and Compliance will review the matter and decide if an application for a license is appropriate. Any export license applications will be handled by RIC, with input from the PI, and will be coordinated in advance with the Office of the Vice President and General Counsel (OGC).

8. Export Control Review & Restrictions

Based on considerations of national security, foreign policy, and economic interests, the U.S. imposes a number of restrictions on the export of certain items (including tangible goods, software, technical data, and services) out of the U.S., as well as on interactions with sanctioned countries and “Restricted Parties” (entities or individuals who are placed on a denial list by the U.S. government, other governments, or relevant non-governmental organizations).

SMU may not engage in business relationships with a Restricted Party, nor shall it engage in activities subject to sanctions, without authorization of the Export Control Officer, which will conduct a review in consultation with the Office of Legal Affairs (“OLA”), Technology Transfer & Commercialization (TT&C), or other designated officials or departments, as appropriate.

An export license from one or more government agencies may be required if any business or research is conducted with a Restricted Party, even if you are conducting fundamental research, and SMU performs automated screening against applicable U.S. and foreign Restricted Party lists.

U.S. Export Control Laws are highly technical and complex and are subject to change as U.S. national security, foreign policy and economic interests evolve. Such changes may include updates to definitions, product or technology classifications, and administrative processes.

If a determination is made that items or activities are subject to U.S. Export Control Laws, they may be prohibited, require that a Technology Control Plan (“TCP”) be put in place, require a license from a relevant federal agency, or be subject to other restrictions. Export license application procedures vary from agency to agency, and obtaining a license may take several months, without a guarantee that the license will be granted.

9. Training and Guidance

As part of SMU’s Export Compliance Program, export control training curriculums and guidance resources are available on the RIC website. Questions may also be sent to researchcompliance@smu.edu.

10. Reporting

Members of the University Community should report immediately any suspected or actual violations of this Policy or Export Controls Laws to researchcompliance@smu.edu or the SMU Compliance Hotline EthicsPoint.

11. Consequences of Violations

Failure to comply with the requirements of this Policy may result in a violation of Export Control Laws, for which substantial individual and/or institutional penalties, including criminal penalties, may be assessed. In addition, failure to comply with the requirements of this Policy may result in loss of funding and disciplinary action, up to and including termination. Third parties who violate this Policy are subject to termination of all relationships with SMU.

12. Recordkeeping

SMU is required to maintain all relevant records for a period of five (5) years from the date of the transaction (i.e., research project, shipment, academic travel, etc.), unless a regulatory agency has recordkeeping requirements exceeding the five-year retention period.

Appendix A: Definitions

“Deemed Export” occurs when technology or software source code is released or transmitted to a Foreign Person within the U.S., including through a discussion with a foreign researcher or student.

“Dual-Use Items” are goods, software, and technologies with both civilian and military application, like drones, rare earth magnets, quantum tech, or semiconductor equipment, requiring special licenses to prevent diversion to weapons programs, terrorism, or human rights abuses, regulated by Bureau of Industry and Security (U.S. Department of Commerce) to manage strategic risks, promote U.S. technology leadership and ensuring national security.

“EAR” stands for Export Administration Regulations (EAR) that are U.S. rules, managed by the Bureau of Industry and Security (BIS) that control the export, re-export, and transfer of most commercial items, software, and technology, including “dual-use” goods with both civilian and miliary uses, to protect national security and promote U.S. foreign policy goals, requiring licenses for sensitive items or destinations.

“Export” means: (1) An actual shipment or transmission of items controlled under the EAR or ITAR out of the U.S.; (2) any written, oral or visual release or disclosure of controlled technology, information or software to a Foreign Person either in the U.S. or outside the U.S.; or (3) any actual use or application of controlled technology on behalf of or for the benefit of any foreign entity or person anywhere.

“Export Controlled Data” means:

Technical data that is controlled under the ITAR.
Technology or software that is subject to the EAR and is controlled at a level higher than EAR99; or
Information subject to controls under the regulations of the NRC (Nuclear Regulatory Commission)

Export Controlled Data does not include:

Technology or software that arises during, or results from, fundamental research under Section 734.8 of the EAR;
Technology or software that has been made available to the public without restrictions upon its further dissemination and qualifies as published under Section 734.7 of the EAR; or
Information concerning general scientific, mathematical, or engineering principles commonly taught in schools, colleges, and universities, or information in the public domain as defined in ITAR Section 120.11.

“Foreign Person” is defined by both the EAR and ITAR as any person, corporation, business association, partnership, trust, society or any other entity or group that is not incorporated or organized to do business in the U.S. as well as international organizations, foreign governments and any agency or subdivision of foreign governments (e.g., diplomatic missions), and anyone who is not a U.S. citizen, a lawful permanent resident of the U.S. (i.e., a green card holder) or who does not have refugee or asylum status in the U.S.

“Fundamental Research” (also called basic or pure research) seeks to expand knowledge and understanding of core scientific principles and natural phenomena, drive by curiosity, not immediate practical application, formation the essential groundwork for future innovation, with findings typically published openly for the scientific community.

“Fundamental Research Exemption” is a key U.S. export control rule that frees basic and applied science/engineering research at U.S. universities from restrictions, allowing broad dissemination of results, but it only protects the information, not physical items, software, or restricted access/publication agreements. To qualify, research must be conducted openly, without sponsor-imposed limits on publishing or allowing foreign national participation, otherwise, the exemption is lost. Qualifying under the exemption requires careful management of technology and data.

“Information arising from Fundamental Research” is information arising during or resulting from basic or applied research in science or engineering conducted at the university in the U.S., where the results of the research are ordinarily shared with the scientific community, published in the public domain, and made accessible to the public. The information that results from fundamental research (other than certain encryption source code) is excluded from export controls. This Fundamental Research Exemption only applies to the disclosure of software, technology, and technical data to Foreign Persons at the university in the U.S.; it does not apply to the shipment or carriage of equipment, materials, or samples outside the U.S.

“ITAR” stands for the International Traffic in Arms Regulations, a U.S. government set of rules controlling the export and import of defense-related articles, services, and technical data listed on the United States Munitions List (USML), to safeguard national security and foreign policy by restricting access to military technology to only U.S. person or authorized entities.

“Re-export” means an actual shipment or transmission of items subject to export regulations from one foreign country to another foreign country. For the purposes of the U.S. EAR, the export or re-export of items subject to the EAR that will transit through a country or countries to a new country, or are intended for re-export to the new country, are deemed to be exports to the new country.

“Restricted Parties”: By order of the U.S. government, U.S. individuals and companies are restricted or prohibited from exporting or providing services of any kind to any party contained in any of the government Restricted Party Screening lists. A Consolidated Screening List is also available.

“Technology Control Plan”: A formal document detailing procedures to safeguard sensitive, export-controlled information, data, and technology from unauthorized access, and ensuring compliance with U.S. regulations like ITAR/EAR for national security and trade.

Appendix B: Technology Control Plan Form

Adopted: August 19, 2026