What are export controls?
Export controls are the regulations overseen by several federal agencies, including the Department of Commerce, the Department of State, and the Department of Homeland Security. These regulations seek to achieve national security, economic and foreign policy goals through various export restrictions and enforcement efforts.
What is an export?
Any oral, written, electronic, or visual disclosure, shipment, transfer, or transmission outside of the United States to anyone, including a U.S. citizen, of any commodity, technology (information, technical data, or assistance), or software/codes. Such exports include transfers of such items or information to collaborators, foreign embassies, overseas corporate affiliates, and contractors.
An export can occur in a number of ways, such as; a physical shipment, hand-carrying an item out of the U.S., email transmission of data, presentations, discussions, or visually accessing export-controlled data.
Items include:
- Commodities: equipment, materials, electronic devices
- Technology: Technical information, Data, Source Code
- Software
What is a deemed export?
A deemed export refers to the release or transmission of technology (technical data, technical information) or source code to any foreign person in the United States (even to a foreign student or colleague at Northwestern). Technology may be "released" by activities such as use of a controlled material through visual inspection, training on the use of controlled equipment, or dissemination of controlled research data and information by email or in conversations or other forms of collaborations.
Who is a foreign national?
A Foreign National is an individual who is not a United States citizen, a permanent resident alien of the United States, a lawfully-admitted temporary resident alien or refugee, or other protected individuals as defined by 8 U.S.C. 1324b(a)(3). For purposes of Export Controls, individuals on a student visa or H1 visa (including visiting foreign faculty) are considered Foreign Nationals.
What do the export control regulations restrict?
Export controls restrict both specific items and information, such as those listed on the Commerce Control List and, more generally, they restrict interactions with certain individuals and countries.
How do I know when export controls apply?
It’s important to understand that the export control regulations are potentially always an issue, but there are specific instances in which export controls are of particular concern. For instance, many research agreements identify export controls in their terms and conditions. It is important to understand your obligations with respect to the export controls, both generally and as may be specifically required under contract or per federal law. If you ever have any doubts or concerns about if export controls apply to your activities, please do not hesitate to contact the Export Controls & International Compliance office.
Are there any particular countries that present elevated concerns regarding export compliance?
The export control regulations identify specific countries that must be carefully scrutinized before undertaking any activities involving those countries. In particular, Cuba, Iran, North Korea and Ukraine-Crimea, Luhansk and Donetsk regions are under heavy embargo via the Office of Foreign Assets Control (OFAC) regulations.While export controls impact every country, there are stringent prohibitions on shipments and interactions with countries designated by the U.S. Department of State as state sponsors of terrorism: Cuba, Iran, North Korea, and Syria; and Military End-Use Countries (MEUs): Belarus, Burma, Cambodia, China (including Hong Kong), Nicaragua, Russia, and Venezuela.
Find the latest updates on our Federal Regulations Overview page. OFAC and other regulations addressing country-specific restrictions, particularly with respect to the export of controlled items, are regularly updated – please consult the following resources for additional guidance, and contact Export Controls Compliance for additional assistance:
- OFAC Sanctions Programs
- State Department Country Policies and Embargoes
- Commerce Department’s Country Chart
The State Department also provides travel warnings regarding numerous countries that present safety and other risks. These warnings should be reviewed carefully in advance of planning your travel.
What does “EAR99” mean?
“EAR99” is a catch-all designation referring to items that are subject to the jurisdiction of the Export Administration Regulations (the “EAR”), but not specifically listed on the Commerce Control List. Even if not listed on the CCL, EAR99 items are still subject to export control regulations and exporting them may require a license due to end use and end user restrictions.
How do universities deal with export controls?
Many universities have created offices and established policies to oversee export control responsibilities. Northwestern’s Export Controls Compliance Office was established in November 2012, and its policy was approved in May 2014. Export Controls Compliance works closely with other offices, including Sponsored Research, OISS, Global Safety and Security, Procurement and Payment Services, and Financial Operations, among others, to ensure that export control issues are properly reviewed.
A critical element of university compliance with the export control regulations is the Fundamental Research Exclusion (FRE), which was first established in a National Security Decision Directive issued under President Reagan in 1985. The FRE provides a limited exclusion to the export control regulations within which universities can conduct research utilizing foreign nationals without having to obtain licenses from the federal government.
Am I allowed to work with foreign nationals in my lab?
Generally speaking, yes, there are no sweeping restrictions against working with foreign nationals in your research activities. While there may be proposed activities that do contain such restrictions, by policy, Northwestern does not accept these restrictions and relies upon the FRE, outlined above, to conduct its research freely and openly, without publication or access restrictions.
Are there any restrictions on what I can carry with me overseas?
The short answer is yes, you must be mindful of what you bring with you when you leave the country. Traveling with sensitive information, for instance, can trigger export control issues. Your laptop or storage device is a controlled item listed on the Commerce Control List (see Category 5, Part 2, “Information Security,” Product Group A, “Equipment”), and thus it is best to carefully consider what you bring with you abroad. This is particularly true with respect to the sanctioned countries referenced above. Additionally, travelers must be careful to ensure that anything carried abroad is properly secured. Northwestern University’s Information Technology office (NUIT) provides tips on How to stay secure during travel. This guidance includes information regarding securing your physical device, accessing network’s securely, protecting all data contained on your laptop, and additional resources regarding travel warnings and related concerns.
Please see our International Travel page and this laptop memo for additional guidance on traveling abroad.
What other steps must be taken to ensure compliance with the export control regulations?
In the absence of the FRE (see above), universities can pursue licenses or other clearances to ensure that its activities are in compliance with the regulations. Licenses can take up to 6 months or longer to process and may or may not be approved. Alternatively, if specific export controls apply, the University may implement a Technology Control Plan to ensure that a controlled item is appropriately safeguarded while under the control of University personnel.
Please see our Export Compliance and Risk Mitigation Guidance page. Download a sample technology control plan.
What should I do if I think there has been a violation?
Suspected violations should be reported by emailing the Export Controls & International Compliance office or calling 515-240-1821 as soon as possible. The Export Controls Compliance Director will work with you to ensure that suspected violations are reviewed closely and, if necessary, reported to the appropriate authority.
What types of resources does the University offer on export controls?
In addition to Northwestern Policy on Export Controls Compliance and the Export Controls Compliance Manual, our Export Controls Website makes information and resources available, including high-risk country updates, FAQs, news, and compliance guidance. Our team conducts quarterly training for all researchers, Students, Faculty and Staff, as well as additional training sessions arranged through a variety of outlets. The ECIC team is also available to provide in person or live virtual training and consultation upon request.
Please visit the Export Controls Training and Research Security Training pages for training available on MyHR Learn and more.