Export Controls

1. Export Control laws and regulations apply to all employees and students, not just those working on
   sponsored projects.
2. Three federal agencies have main cognizance over various aspects of export controls:  Department of Commerce for civilian and “dual‐use” technologies; Department of State for military technologies; and Department of the Treasury for economic and political sanctions.
3. There are two kinds of exports:  Physical shipments of technology and/or equipment to a foreign location and Deemed exports, that is the disclosing of technical data to a foreign national or the training of a foreign national in the U.S. in the use of certain equipment.
4. Most of what universities do is covered by one or more exclusions from the federal regulations BUT any restrictions on publications destroy the fundamental research exclusion; any restrictions on foreign nationals destroy the fundamental research exclusion; and side agreements can destroy the fundamental research exclusion.
5. If an export license is required, it can take several months to obtain, depending on the agency and the complexity of the situation.
6. Foreign travel can be a problem depending on which country is visited and what one takes on the trip.
7. Visits by foreign colleagues to Marquette University need to be screened. These are usually individual screens, but screening of equipment/technology may also have to be performed to which the individuals will have access.
8. Foreign visitors, consultants, collaborators, and students must be screened. These are usually individual screens, but screening of equipment/technology may also have to be performed to which the individuals will have access.
9. Violations of export control laws and regulations carry very stiff criminal and civil penalties.
10. As a general rule, care must be taken to contact the Office of Research and Sponsored Programs with any questions you may have about whether export control regulations apply to your activities and research.

Marquette University must comply with the United States export control laws and regulations, including those implemented by the Department of Commerce through its Export Administration Regulations (EAR), the Department of State through its International Traffic in Arms Regulations (ITAR), and the restrictions imposed by the Treasury Department through its Office of Foreign Asset Control (OEAC). Violations of the regulations carry both criminal and civil penalties for both individuals and the university. In addition, the federal government may impose other sanctions including debarment and loss of eligibility for federal funding.

Visit the University Policies and Procedures website

The Council on Governmental Relations (COGR) is an association of leading research-intensive universities. COGR’s primary function consists in helping to develop policies and practices that fairly reflect the mutual interests and separate obligations of federal agencies and universities in federal research and training. COGR deals primarily with policies and technical issues involved in the administration of federally-sponsored programs at universities. It keeps under continuing review the problems potentially inherent in the development of federal policies, regulations, and other federal initiatives.

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Marquette University is a subscriber to the Visual Compliance program provided by MSR Inc. The Office of Research and Sponsored Programs is authorized to perform Visual Compliance searches and screens.

Exports are governed by three federal agencies and the regulations are complex and often confusing. Visual Compliance gives us the advantage of being able to perform the required reviews efficiently and comprehensively. It greatly enhances our ability to comply with federal requirements and minimizes delays that can negatively impact research programs.

Physical and deemed exports need to be screened. This may also involve screening individuals and entities against the “denied parties” listings, classifying equipment within federal controlled technology categories, and several other types of reviews. This helps us determine whether export licenses are required for both deemed exports and physical shipments.

• Bureau of Industry and Security (BIS)
• Export Administration Regulations (EAR)
• International Traffic in Arms Regulations (ITAR)
• Office of Foreign Assets Control (OFAC)

• Association of American Universities, Export Controls
• Center for Strategic and International Studies, Export Control Project
• Congressional Research Service: The Export Administration Act: Evolution, Provisions, and Debate
• Defense Technical Information Center, Export Control Reference Materials on the Internet