Guidance for Researchers NU

Follow these steps to ensure compliance with export control and research security regulations:

1. Familiarize yourself with NU export controls policy and federal regulations, including OFAC Sanctions.
2. Familiarize yourself with research security policy and federal research security requirements for anyone applying or receiving federal funding. This includes:
   • Reviewing the definition of Foreign Talent Recruitment Program and "Malign" Foreign Talent Recruitment Program. 
   • Understanding how activities with individuals affiliated to institutions in foreign countries of concern (FCOCs– China (including Hong Kong), Iran, Russia, North Korea), may be considered a risk factor in future applications for federal funding. 
3. Take Research Security Training via myHR Learn. This training will be required starting May 1, 2025, for all DOE funding applications.
4. Take Export Controls Training via myHR Learn or watch this video. Export controls training is required for all PIs on a Technology Control Plan or Risk Mitigation Plan.
5. Review our international travel guidance before travel.
6. Conduct due diligence by asking questions and contacting the ECIC team for a restricted party screening (RPS) or licensing determination in the scenarios below.

Fundamental research is basic and applied research in science and/or engineering where the resulting information is ordinarily published and shared broadly in the scientific community. University research will not qualify as fundamental research if:

• the University or researcher accepts any restrictions on the publication of the information resulting from the research, other than customary prepublication reviews [see Northwestern’s policy] by research sponsors to prevent inadvertent disclosure of their proprietary information or the compromise of the patent rights of sponsors; or
• the research is federally funded and the University or the researcher accepts specific access or dissemination controls regarding the resulting information.

Fundamental Research Exclusion

Most Northwestern research activities are excluded from export controls because of a general exception for fundamental research. Both the Export Administration Regulations (EAR) and the International Traffic in Arms Regulations (ITAR) provide that no licenses are required to disclose technical information if the information is in the public domain. Information is in the public domain if it is published and generally accessible to the public through unlimited and unrestricted distribution or through “fundamental research in science and engineering at accredited institutions of higher learning in the U.S. where the resulting information is ordinarily published and shared broadly in the scientific community”. This fundamental research exclusion applies to basic and applied research in science as long as the research is carried out openly and without restrictions on publication or access to or dissemination of the research results (EAR 734.8; ITAR 120.34 (8). By not accepting any restriction on publication or foreign nationals, Northwestern protects the fundamental research exclusion.

If a researcher accepts export-controlled technology or information from a government agency, industry, or elsewhere, the researcher is subject to Export Administration Regulations (EAR) and International Traffic in Arms Regulations (ITAR). In these cases, export regulations apply regardless of whether the recipient of the information, technology or materials is unfunded; or funded by a grant, contract, or other agreement; and apply whether or not the EAR/ITAR are cited in related award documents.

If a Northwestern researcher is unsure whether they may be receiving or generating export-controlled information, the researcher should contact the Office for Export Controls Compliance for assistance.

How could export controls affect research?

• Publication of research results would be severely restricted or controlled, contrary to University policy.
• Graduate student participation would be strictly prohibited.
• Secure facilities with restricted access may be required.
• Special rules for controlled toxins, bio-agents, and chemicals may apply.
• Commerce or State may require an export license if information, technology, or an item or service is controlled.
• Obtaining an export license may be costly and result in considerable delays. Further, such licenses are limited in scope, with release permitted to only one individual or entity.

Reach out to the ECIC office for guidance in the following ten scenarios:

1) Any activities with heavily OFAC-sanctioned countries.

Many university activities—even virtual ones—with comprehensively or heavily sanctioned countries or individuals in those countries require U.S. federal authorization. Reach out to our office in advance of any activities with individuals in a comprehensively OFAC-sanctioned country or ordinarily a resident of one of those countries.

• Comprehensively OFAC sanctioned countries: Belarus, Cuba, Iran, North Korea, Russia, Syria, and certain regions of Ukraine (Crimea, Donetsk, Luhansk). Find other countries subject to sanctions programs in OFAC’s website.
• Activities: Nearly all activities with individuals who are in or ordinarily a resident of Cuba, Iran, North Korea, Syria, and the temporarily occupied regions of Ukraine (Crimea, Donetsk, and Luhansk), will require an OFAC license. This includes, but is not limited to:
  • Travel to a sanctioned country
  • Working or conducting research in a sanctioned country
  • Collaborating with or presenting to individuals, even virtually, in a sanctioned country or ordinarily a resident of a sanctioned country
  • Hiring anyone located in a sanctioned country*
  • Hosting a visitor who is ordinarily a resident of a sanctioned country*
  • Allowing staff or students to work for Northwestern remotely from a sanctioned country
  • Allowing students to take remote coursework, including independent study from a sanctioned country
  • Making financial transactions (making or receiving payments)
  • Sending or receiving items physically or virtually via email/applications/cloud/other (technical data, source code, software, equipment, etc.)

 *Do not allow individuals from OFAC sanctioned countries to start working until they arrive legally and physically to the U.S. or Qatar campus and do not issue a NetID until they arrive in the U.S. or Qatar. They may not work remotely from an OFAC sanctioned country under U.S. federal regulations and university policies.

2) International shipment or travel with items when they involve:

See ECIC International Shipping Guidance.

• High Risk Countries - Everyday items such as laptops, cell phones, and certain communications devices and software may require a license or a documented exception under export regulations when shipped or carried to certain high risk countries. These countries change over time but are currently:
  • OFAC Sanctioned Countries: Belarus, Cuba, Iran, North Korea, Russia, Syria, and certain regions of Ukraine (Crimea, Donetsk, Luhansk).
  • Military End-Use (MEU) or Special Control Countries: Belarus, Burma, Cambodia, China (including Hong Kong), Iraq, Nicaragua, Russia, Venezuela.
• Biological, chemical, or hazardous materials and accompanying technical data, regardless of country.
  • We recommend that you start by contacting NU’s Research Safety office. Hazardous materials shipping is regulated by the Department of Transportation and there are a range of government agency requirements. Research Safety will coordinate the review with the ECIC team.
• A critical technology area, regardless of country. Example: quantum computing, integrated circuits, artificial intelligence capabilities, additive manufacturing, semiconductor materials, semiconductor manufacturing equipment, chip design software. List of critical technology areas (Annex).
• Defense articles or military applications. Northwestern is not registered with the State Department DDTC, to handle/store/work with ITAR projects.

3) International travel to an OFAC or Military End Use country.

These countries change over time, but are currently, OFAC: Cuba, Iran, North Korea, Syria, and certain regions of Ukraine (Crimea, Donetsk, Luhansk). MEU: Belarus, Burma, Cambodia, China (including Hong Kong), Nicaragua, Russia, Venezuela. 

Also, review our international travel guidance before travel and submit a TMP form if needed. If traveling to an OFAC sanctioned country, register online.

4) Sending or receiving controlled technical data, object code, or source code.

Example: technical data coming from a sponsor marked ‘Confidential’ or ‘Export Controlled,’ or technical data that any researcher, sponsor, or contracting party have decided to keep confidential for national security or foreign policy reasons. This does not include data that you intend to publish, i.e. fundamental research.

Note: Fundamental research means research in science, engineering, or mathematics, the results of which ordinarily are published and shared broadly within the research community, and for which the researchers have not accepted restrictions for proprietary or national security reasons. See Guidance for Researchers.

5) Purchasing controlled equipment or materials. 

How will you know if an item needs a license or is highly controlled? See Purchasing Guidance. Procurement flags indicating that authorization may be required include:

• The vendor requires you to sign an end-use certificate or export control statement. End-use certificates may only be signed by the appropriate university officer (not directly by staff, faculty, or students). 
• Purchase order with strong export control language or EAR or ITAR-controlled markings.
• The vendor notes shipping or foreign person restrictions.

6) Foreign Talent Recruitment Program membership.

Reach out to our office if you require guidance or are unsure that you are a Foreign Talent Recruitment Program (FTRP) and "Malign" Foreign Talent Recruitment Program (MFRTP) member, or whether the FTRP exclusions apply to your case.

• Under the Chips & Science Act and Northwestern’s Policy on Conflict of Interest in Research, you cannot be a MFTRP member and apply for or receive federal funding.
• Make sure you complete and update federal agency and Northwestern disclosures. Each agency has their own requirements and guidance, but you may reference the NSF disclosure matrix for current and pending other support as example. See also NU Disclosing for Researchers and FAQs and NUCOI’s general disclosure guidance. 

7) Collaborations with individuals in foreign countries of concern.

FCOCs are China (including Hong Kong), Iran, Russia, North Korea. We recommend that you reach out to our office if you plan to participate or currently participate in activities with individuals affiliated to entities in FCOCs, as this may be considered a risk factor in future applications for federal funding. 

• Our office will run a restricted party screening and provide additional guidance. 

• Example: Conducting research, sharing unpublished data, receiving support (financial or otherwise), collaborating on publications, continuing a collaboration, etc.

8) Risk mitigation is required from a U.S. federal sponsor.

Several federal funding agencies (DOD, DOE, NIH, NSF) have published information on how they assess certain international risk factors, and which factors may warrant mitigation or impact funding opportunities. The risk criteria differ by each agency, so it is important to review guidance from the agencies you work with or hope to work with carefully. See Federal Agency Risk Assessment Guidance. Our office will work with you to create and submit a risk mitigation plan if your federal sponsor requires it.

9) Hosting Research Visitors from High-Risk Countries 

Northwestern may not engage in transactions with a restricted party without prior government approval. While we are committed to an open academic and research environment, it is essential to screen research collaborators and visitors to comply with federal regulations.

• Restricted Party Screenings: All research visitors require screening before Northwestern sends an appointment letter to the Visitor confirming offer and terms. Use the Visitor Appointment process even for short-term visitors.
• Can I host visitors affiliated/associated with a restricted entity? Northwestern will not routinely sponsor Research Visitors, including interns, on a U.S. restricted list or who are employed, supported or funded by a person or entity on a U.S. restricted list. There is a limited appeal/waiver process for certain instances. Our office will work with you to provide consultation and guidance. See Restricted Parties Research Visitors.

 10) Participating in controlled research.

See Guidance for Researchers. Some indicators of controlled research projects are:

• The project is for research related to military or space items, or defense services.
• The award or agreement contains foreign person restrictions or publication approvals, where you cannot openly publish.
• See other indicators on our CERES Ancillary Review Checklist. We will work with your Research Administrator and Sponsored Research point of contact if any of these indicators are present in Northwestern sponsored research agreements.   

And anytime you have a question!