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General Information

Why are export controls relevant to the University?

The University engages in research, collaboration, and international relationships that may involve the sharing of controlled technologies, information, and equipment. Compliance with export controls ensures that sensitive items and knowledge are not shared with unauthorized entities, thereby protecting national security interests. 

What activities are impacted by export controls and regulations?

Export control laws and regulations affect various University activities including, but not limited to conducting research (sponsored and unsponsored), international travel, publishing research, procurement, sponsoring foreign persons (e.g., visiting scholars), collaborations with non-U.S. individuals or entities, international shipments, non-disclosure agreements, and certain services to embargoed or sanctioned countries.

To whom do export control rules apply?

Export controls applies to ALL Marquette personnel - faculty, staff and students.

What triggers an export control review/potential need for a license?

An export control review should occur when:  

a. Any good, information, or technology is being shipped abroad

b. Foreign party restrictions are stated in the sponsored agreement

c. International travel to countries subject to U.S. embargoes and sanctions is being contemplated

d. Sponsor is providing export-controlled technology, technical data, or equipment

e. Non-U.S. students or visiting scholars are participating in a restricted project

f.  Project is sponsored by a defense contractor

g. Project is military, space-related, or has other implications to national security

h. Project will be conducted abroad or with a Foreign Sponsor or collaborator

i.  Sponsor/entity/research/collaborator is in a sanctioned country

j.  Publication, access, and dissemination restrictions in the sponsored research agreement exist.

If export controls are applicable, the project could require a plan or an export license before starting the activity. If you need an export control review, please complete the applicable form.

When would I need an export control license?

You may need an export control license when you are: 

a.  Traveling to a foreign country with technology, materials, or equipment; or

b.  Shipping technology, materials, or equipment.  

How long does it take obtain an export control license and what does it cost?

Costs and timing for licenses can vary greatly depending on what item is being transported and the destination. Plan to submit an International Shipment Form at least three months in advance. A cost estimate can be provided prior to engaging in the licensing process. 

What onsite university activities are exempt from the Export Control licensing requirements?

Information and technologies are not subject to export controls if they qualify under at least one of three exclusions:

  1. Fundamental research exclusion (FRE):  Under the Export Administrative Regulations (EAR), basic and applied research in science and engineering, the results of which ordinarily are published and shared broadly within the scientific community, fall under the FRE and are exempt from Export Controls.
  2. Public domain exclusion:  information that is published and generally accessible or available to the public is not controlled under the EAR or International Traffic in Arms Regulations (ITAR). Under the EAR, “publicly available” means information and materials that arise from fundamental research, are educational or are included in certain patent applications. The ITAR defines “publicly available” as information that is published and generally accessible to the public.
  3. Education Information Exclusion:  Under the EAR, publicly available “educational information” is not subject to Export Controls if it is released through instruction in catalogued courses and associated teaching labs at academic institutions. Under the ITAR, information concerning general scientific, mathematical, or engineering principles commonly taught in schools, colleges, and universities are not subject to the ITAR.

What are the potential penalties for not following export control regulations?

Violations of export control laws may result in criminal and civil penalties for both individuals and the university, including fines, loss of research funding, and legal actions. Additionally, reputational damage can result from unintentional breaches of export control regulations. The U.S. government may also impose other sanctions, including debarment

Can the output from unfunded research be subject to export controls?

Yes, unfunded research results may be subject to export controls, particularly when international collaborations are involved. The regulations do not distinguish between unfunded or funded research results and the results may be covered even if not final.

What if a sponsor begins providing export-controlled information or technology to a project previously determined to be fundamental research?

If this happens, please contact the Office of Research and Sponsored Programs before accepting any export-controlled information, as our agreements address this issue and we should not accept export-controlled information without evaluation.  

 

Key Terms

What is an export?

Exports include a shipment of a tangible item, the transmission or transfer of software or technical data and information, or provision of certain services from the United States to a foreign state or to a foreign person. 

How this item is transported outside the U.S. does not matter for purposes of export control regulations. The item could be e-mailed, mailed, shipped, uploaded/downloaded from the Internet, hand carried, or shared in conversation.

What are export controls?

Export controls are federal laws that govern the transmission of controlled items and associated technical data to foreign nationals. There are also federal regulations regarding providing services, traveling to, or working with individuals or entities from sanctioned or embargoed countries. These federal regulations not only affect items that are utilized by students, staff, and faculty, but can also affect whom the university engages with on campus as well as around the world.

There are three primary agencies which govern export control laws and regulations: 

  • U.S. Department of State Directorate of Defense Trade Controls
  • U.S. Department of Commerce Bureau of Industry and Security
  • U.S. Department of Treasury Office of Foreign Assets Control

What is an export license?

An export license is an authorization from the government to export certain controlled items or technology to specific recipients or destinations. It may be required when the item's export is not covered by an exemption or exclusion and if the destination country is subject to sanctions or restrictions.

What is a restricted party/sanctioned country?

A restricted party/sanctioned country is a person or organization that is listed on one of the U.S government's restricted party lists or is from an embargoed or sanctioned country (Currently, Cuba, The Crimea Region of Ukraine, Russia, Belarus, Iran, Iraq, North Korea, Sudan, or Syria).

U.S government's Restricted Party List

Who is a foreign person?

Anyone who is not a U.S. Person such as:

a. Students, post-doctoral scholars, research staff in F-1 or J-1 status, or Marquette University foreign national employees in H1-B status.

b. Any foreign corporation, business association, partnership or any other entity that is not incorporated to do business in the U.S. 

c. International organizations, foreign governments, and any agency or subdivision of foreign governments, e.g., an embassy or consulate

What is a deemed export?

A deemed export is the transfer of export-controlled information to a Foreign Person in the U.S. Export control laws and regulations state that a transfer of source code, technology or technical data to a foreign person is “deemed” to be an export to the home country of the Foreign Person.

What is the Fundamental Research Exclusion (FRE)?

Under the Export Administration Regulations, basic and applied research in science and engineering, the results of which ordinarily are published and shared broadly within the scientific community, fall under FRE and are exempt from Export Controls.  In certain instances the fundamental research exclusion can be nullified. If the U.S. Government funds research and specific controls are agreed on to protect information resulting from the research, then information resulting from the project will not be considered fundamental research. Such controls are usually contained in contractual clauses. Examples of "specific controls" include requirements for prepublication “approval” by the Government; restrictions on dissemination of information to non-U.S. citizens or other categories of persons; or restrictions on participation of non-U.S. citizens or other categories of persons in the research.

What is the Public Domain Exclusion?

Information that is published and generally accessible or available to the public is not controlled under the EAR or ITAR. Under the EAR, “publicly available” means information and materials that arise from fundamental research, are educational or are included in certain patent applications. The ITAR defines “publicly available” as information that is published and generally accessible to the public.

What is the Educational Information Exclusion?

Under the EAR, publicly available “educational information” is not subject to Export Controls if it is released through instruction in catalogued courses and associated teaching labs at academic institutions. Under the ITAR, information concerning general scientific, mathematical, or engineering principles commonly taught in schools, colleges, and universities are not subject to the ITAR.

What is the Defense Federal Acquisition Regulation Supplement (DFARS) 252.204-7000 clause? 

Disclosure of Information restricts the release of information unless:
a.  The information is already in the public domain
b.  The Prime Contracting Officer has given prior written approval,
c.  During the performance of the project, the results involved no covered defense information and the Prime Contacting Officer has deemed the results fundamental research.

What is the National Institute of Standards and Technology (NIST) 800.171? 

There are over one hundred security requirements in National Institute of Standards and Technology (NIST); this document is summary in nature and not an exhaustive list. See the NIST for complete details.

NIST Cybersecurity Framework 2.0

The National Institute of Standards and Technology Special Publication 800-171 provides agencies with recommended security requirements for protecting the confidentiality of Controlled Unclassified Information (CUI) when resident in Non-Federal Information Systems and Organizations. 

 

Travel Guidance

How does export control impact travel outside the United States?

Four (4) weeks in advance of any international travel, all faculty, staff and students that are traveling internationally and taking a computer or other equipment, materials, software or data abroad must:

a.  Register with the Office of International Education. Once the online registration is completed and submitted it will be sent for review to OIE and your relevant VP/Dean and for approval.

b.  Complete the Temporary Exports Tools of Trade (TMP) Exemption Certification for all tools and equipment being taken on a trip.

c.  Contact the IT Services TechSquadif you are carrying any equipment that contains firmware or software on your trip, such as a laptop or other device.

Is a license necessary to travel to a restricted party/sanctioned country?

No, a license is not required if you only travel to a country. A license may be necesary to travel or conduct buisness with restricted party/sanctioned countries if technology, materials, or equipment are brought during travel. Complete the Temporary Exports Tools of Trade (TMP) Exemption Certification Form for all tools and equipment being taken on a trip.

Can export controlled items be taken abroad?

It depends on the country and the item. Complete the appropriate form to determine if your technology, materials, or equipment is subject to these restrictions and if a license is required.

Refer to Guidelines for International and Export Controlled Technology

How can University personnel safeguard research while traveling abroad?

Refer to Guidelines for International and Export Controlled Technology

 

If I take a Marquette-issued laptop or cell phone out of the United States, do I need a license to comply with export control regulations?

It depends on your scenario:

1.  If you have not downloaded any proprietary information on to your laptop or cell phone the policy does not apply.

2.  If you have proprietary information on your laptop or cell phone the policy does apply:

Four (4) weeks in advance of any international travel, all faculty, staff and students that are traveling internationally and taking a computer or other technology, equipment, or materials abroad must:

a. Register with the Office of International Education. Once the online registration is completed and submitted it will be sent for review to OIE and your relevant VP/Dean and for approval.

b. Complete the Temporary Exports Tools of Trade (TMP) Exemption Certification for all tools and equipment being taken on a trip.

c. Contact the IT Services TechSquad if you are carrying any equipment that contains firmware or software on your trip, such as a laptop or other device.

Also please note that if you do need to access technical data that is stored in the cloud in another country, you will want to make sure that you have a secure connection.

If I take my own personal laptop or cell phone out of the United States, do I need a license to comply with export control regulations?

It depends on your scenario:

1.  If you have not downloaded any proprietary information on to your laptop or cell phone the policy does not apply.

2.  If you have proprietary information on your laptop or cell phone the policy does apply:

Four (4) weeks in advance of any international travel, all faculty, staff and students that are traveling internationally and taking a computer or other technology, equipment, or materials abroad must:

a. Register with the Office of International Education. Once the online registration is completed and submitted it will be sent for review to OIE and your relevant VP/Dean and for approval.

b. Complete the Temporary Exports Tools of Trade (TMP) Exemption Certification for all tools and equipment being taken on a trip.

c. Contact the IT Services TechSquad if you are carrying any equipment that contains firmware or software on your trip, such as a laptop or other device.

Also please note that if you do need to access technical data that is stored in the cloud in another country, you will want to make sure that you have a secure connection.

 

Shipment Guidance

Do export control regulations impact international shipments?

Yes, export control regulations can impact shipments.

A minimum of eight (8) weeks in advance, all faculty, staff and students who are shipping equipment or materials or transferring technology or data outside the United States must identify the Export Control Classification Number (ECCN) of any equipment and complete the International Shipment Form. To obtain the ECCN number, contact the equipment vendor.

International Shipment Form

 

Visitor Guidance

If I have a visitor coming to conduct research, teach or observe do they need a J-1 visa?

Maybe.

A minimum of eight (8) to ten (10) weeks in advance of a visit, consult the Office of International Education guidance on J-1 visa requirements for exchange visitors. Contact the Office of International Education with any questions.

Exchange Visitor Program

If the visitor will require a Form DS-2019 from OIE to apply for a J-1 visa, it is strongly advisable that all the necessary documentation for the DS-2019 be submitted to OIE at least 8 weeks before the proposed start of the visit to allow time for the DS-2019 issuance and J-1 visa application processes.

 

If a visitor does not require a J-1 visa, do I need to communicate their visit?

 

For Foreign Persons visiting campus that do not require a J-1 Visa but who may have access to laboratory facilities, computers or research materials, complete a Visitors to Campus Form a minimum of four (4) weeks in advance of the visit to campus to determine whether they are a Restricted Party. Anyone managing an on-campus lab is responsible for restricting access so that a Restricted Party does not enter the lab.

Visitors to Campus Form

 

International Collaboration Guidance

How do export controls affect international collaborations and partnerships? 

Export controls can impact international collaborations or partnerships if either involves:

a.  Working with a restricted party

b.  Shipping of technology, materials, or equipment to an international collaborator.

Certain controlled items might require licenses or approvals before they can be shared with non-U.S. entities. For clarity refer to the Export control website for details.

Export Controls Information

To be clear, export controls DO NOT PREVENT collaboration. Rather they are intended to protect all parties involved.

Do I need to adhere to export controls when I am sending an email?

YES, you may, depending on what you are emailing.

While email correspondence about the details of travel, schedule or other logistics are not covered by these rules, you should be cautious when attaching or discussing technical specifications, proprietary information, research findings, software code, blueprints, and other technical data in your emails.