US Export Control Laws Information and Guidelines

Northwestern University's instruction, research, and services will be accomplished openly and without prohibitions on the publication and dissemination of academic and research activities results. Federal regulations promulgated and enforced by the Department of Commerce, Export Administration Regulations (EAR); and the Department of State, International Traffic in Arms Regulations (ITAR), prohibit the unlicensed export of specific technologies for reasons of national security or protection of trade. If University research involves such specified technologies, the EAR and/or ITAR may require the University to obtain prior approval from the Commerce or State Departments before allowing foreign nationals to participate in the research, partnering with a foreign company, and/or sharing research ae verbally or in writing ae with persons who are not U.S. citizens or permanent resident aliens. Export control regulations have the potential to harm the quality of University research, undermine publication rights, and prohibit international collaboration if the dissemination of University research is not placed in the public domain and does not qualify for the fundamental research exclusion. The consequences of violating these regulations can be quite severe, ranging from loss of research contracts to monetary penalties to jail time for the individual guilty of the violation. A number of organizations such as the Council on Government Relations (COGR) and the Association of American Universities (AAU) are working to exclude all fundamental university research from export regulation. Until such time as those efforts are successful, the Office of Sponsored Research (OSR), Office of the General Counsel (OGC), and principal investigators should conduct a thorough review of research projects and contract provisions to determine whether, and if so how, a particular research project is impacted by those regulations. Prior to commencing any research, PIs should:

• Review and cooperate with OSR to determine whether their research is impacted by the controls or requirements contained within export regulations
• Re-evaluate that determination before changing the scope or adding new staff to the project to determine if such changes alter the initial determination
• Make export determinations far enough in advance to obtain an authorization, should one be required

The University will assist PIs in assessing the application of such regulations, but primary compliance responsibility rests with the principal investigator of the research. These guidelines are intended to promote understanding of and compliance with the regulations by all personnel involved in research.

General Exporting Links

Resource/Topic	Description
Department of Commerce	The Department of Commerce's Bureau of Industry and Security (BIS) is responsible for implementing and enforcing the Export Administration Regulations (EAR), which regulate the export and re-export of most commercial items.
Department of State	The Department of State's Directorate of Defense Trade Controls (DDTC) is charged with controlling the export and temporary import of defense articles and defense services covered by the United States Munitions List (USML)
International Traffic in Arms Regulations (ITAR) Note: Scroll down to sections 120-130 www.access.gpo.gov/nara/cfr/waisidx_04/22cfrv1_04.html	Regulations implemented by the Department of State which regulate defense articles and services and related technical data that are identified on the Munitions Control List (MCL)
Export Administration Regulations Note: Scroll down to sections 734 and 770 www.access.gpo.gov/nara/cfr/cfr-table-search.html#page1	Regulations implemented by the Department of State which regulate the export of goods and services identified on the Commodity Control List (CCL)

Specific Exporting Links

Resource/Topic	Description
Export	Basic information concerning export control
Foreign Persons www.access.gpo.gov/uscode/title8/chapter12_.html www.access.gpo.gov/uscode/title8/chapter12_subchapteri_.html Note: Scroll down to section 1101 www.access.gpo.gov/uscode/title8/chapter12_subchapterii_partviii_.html Note: Scroll down to section 1324	U.S. regulations concerning illegal aliens, immigration and nationality
Fundamental Research Note: Scroll down to section 734.8	Scope of U.S export administration regulations as they apply to research
Public Domain Note: Scroll down to section 120.11	U.S. regulations concerning information which is published and which is generally accessible or available to the public
Use of US Flag Air Carriers for all Federally Sponsored Travel	U.S. regulations concerning the use of U.S. flag carriers for federally sponsored travel

Commodity Jurisdiction Ruling

Where an article is arguably covered by both the EAR and ITAR, a request can be made to the State Department to determine which agency will have jurisdiction over the export of the article.

Guidelines for Sponsored Research Projects

The University has developed the following guidelines to help PIs and other persons engaged in research or the administration of research at the University decide whether the EAR and/or ITAR affects a particular project and take appropriate action.

• The designated OSR personnel will review the research agreement for terms or provisions that restrict access to or publication of research and technical data, limit the participation of foreign nationals, or otherwise render inapplicable the exclusion for fundamental research conducted in the public domain. If the project qualifies as fundamental research and research information will be publishable and generally accessible or available to the public, no export license will be required
• If it appears that the fundamental research and public domain exceptions are not applicable, the research administrator will ask the PI to determine whether the research falls within the Commerce Control List (CCL) or the Munitions Control List (MCL)
• OSR will provide a form for the PI to consult and complete
• The PI will certify his or her decision on the form and return it to the OSR research administrator
• The director of OSR and Office of the General Counsel will make a final determination as to the application of export control regulations, provide written notice of that decision, and recommend appropriate actions to the PI, vice president for research, and the applicable dean and department chair