Foundations & Core Definitions

What are export controls, and why do they apply to Rice University?

Export controls are U.S. federal laws and regulations that restrict the transfer of controlled items, software, technology, services, and financial assets to foreign destinations, foreign entities, or foreign individuals. They exist to safeguard U.S. national security, advance foreign policy goals, and protect economic competitiveness. Export controls apply to all Rice faculty, staff, researchers, students, and visiting scholars engaged in international travel, shipping, research collaborations, or interactions with foreign nationals.

What are the primary federal agencies and regulations governing export controls?

U.S. export controls are overseen primarily by three federal agencies:

• Export Administration Regulations (EAR) – U.S. Department of Commerce: Regulates "dual-use" items, software, and commercial technologies with potential military applications.
• International Traffic in Arms Regulations (ITAR) – U.S. Department of State: Regulates defense articles, military items, space technologies, and technical data listed on the U.S. Munitions List (USML).
• Office of Foreign Assets Control (OFAC) – U.S. Department of the Treasury: Administers economic trade sanctions and embargoes against targeted foreign countries, entities, and individuals.

What is a "Deemed Export"?

A deemed export occurs when export-controlled technology, technical data, or source code is released or disclosed to a foreign national within the United States (e.g., inside a Rice lab, office, or classroom). Under federal law, sharing controlled information with a foreign national, even if that foreign national is here at Rice University, is legally treated as an export to that individual's country of citizenship. Disclosure can occur visually (lab walk-throughs or data displayed on a computer screen or in a lab notebook), verbally (discussions), or electronically (shared drives/servers).

How do federal research security directives (NSPM-33, OSTP Guidance, and the CHIPS & Science Act) intersect with export controls?

Federal research security policies and U.S. export control regulations work together to safeguard university research, intellectual property, and national security from unauthorized foreign access. While export control laws (EAR, ITAR, OFAC) govern what physical items, software, or technical data can be shared or shipped, research security directives govern transparency, institutional safeguards, and personnel integrity across federally funded research.

Failure to disclose foreign ties or foreign funding can create "shadow" technology transfers that bypass university export-control reviews, potentially invalidating the Fundamental Research Exclusion (FRE) and violating federal export law.

Academic Freedom & Fundamental Research Exclusion (FRE)

Aren't university research activities exempt from export controls?

Not entirely. While the U.S. government provides the Fundamental Research Exclusion (FRE) to protect open academic environments, FRE applies primarily to technical data and information resulting from research intended for open publication. FRE does not cover physical shipments, military technology (ITAR), proprietary background data from industry sponsors, or activities involving sanctioned nations/entities.

What invalidates the Fundamental Research Exclusion (FRE) on a project?

FRE may be lost if a sponsored research agreement or non-disclosure agreement (NDA) is accepted with:

1. Restrictions on publishing research findings or requiring pre-publication approval beyond a brief sponsor review for proprietary data.
2. Restrictions on the participation of foreign nationals (e.g., prohibiting non-U.S. citizens from working on the project).
3. Specific export-controlled technical deliverables that cannot be shared publicly.

Important: Never sign an agreement or NDA that restricts publication or foreign national participation without prior review by the Office of Sponsored Projects (OSP) and RSEC. Accepting these terms potentially converts open research into regulated technology.

International Travel & Electronic Devices

I am traveling abroad for a conference or research. What do I need to know about export controls?

Traveling internationally with laptops, cell phones, research equipment, or technical data constitutes an export. You must ensure that:

• Your destination is screened for trade sanctions or Elevated Risk status under Rice Policy 852.
• Hardware or data taken abroad is authorized for export or qualifies for a license exception (such as the Temporary Export TMP or Baggage BAG exceptions).
• Research data taken abroad does not contain ITAR-controlled information or proprietary technical data.

What are Rice's requirements for travel to Elevated Risk Locations or Foreign Countries of Concern (FCOC)?

Under Rice Policy 852 and RSEC guidelines:

1. Pre-Travel Intake: Submit an export control assessment request via the RSEC Intake before booking travel to Elevated Risk Regions or Foreign Countries of Concern (e.g., China, Hong Kong, Macao, Russia, Iran, North Korea).
2. Mandatory Briefings: Complete mandatory RSEC pre-travel and post-travel briefings when traveling to or through FCOC destinations.
3. Clean Devices: Request a loaner laptop from Technology Support & Services (TS&S) via the loaner program and avoid carrying personal or primary work devices containing sensitive or unpublished research data.

International Shipping & Physical Transfers

Do I need export control clearance to ship physical scientific equipment, biological samples, or materials overseas?

Yes. The Fundamental Research Exclusion applies only to information and software, never to physical items. All international physical shipments—regardless of whether they are commercial sales, lab samples, prototypes, or returned items—must be screened prior to dispatch.

Submit shipment details through RSEC Intake so RSEC can determine whether the item has an Export Control Classification Number (ECCN) and perform Restricted Party Screening (RPS) on the recipient to determine whether a federal export license is required or whether restrictions on the end-user exist.

Can I hand-carry research tools or scientific samples in my luggage?

Hand-carrying research equipment, biological samples, chemical materials, or high-tech equipment abroad is subject to the same federal regulations as commercial shipping. Before packing items in personal baggage, you must obtain export approval from RSEC to avoid customs delays, equipment seizure, or personal liability at port border crossings.

Foreign Visitors & Collaborations

Can foreign national students and postdoctoral scholars work in my lab?

Yes, in most cases, foreign students and scholars fully participate in Rice research under the Fundamental Research Exclusion (FRE). However, if your lab conducts export-controlled work under a Technology Control Plan (TCP), uses proprietary background data under an NDA, or works with ITAR-listed equipment, RSEC must screen foreign nationals prior to granted access and apply for federal licenses if needed.

Technology Control Plans (TCP) & Export Compliance Support

What is a Technology Control Plan (TCP)?

A Technology Control Plan (TCP) is a customized operational security document designed for research projects involving export-controlled hardware, software, or technical data. Created collaboratively by RSEC and the Principal Investigator (PI), the TCP outlines specific physical and data access controls, IT encryption safeguards, and personnel clearance rosters required to prevent unauthorized disclosures.

Who do I contact if I suspect an export control or research security issue?

Contact the Office of Research Security and Export Controls (RSEC) immediately:

• Email: rsec@rice.edu
• Office Location: Baker Institute, Offices 358 & 359
• Intake Form: Submit a request via the RSEC Intake Portal for travel clearance, export classifications, or foreign visitor screenings.