Research

Export Controls

Overview

Export Controls are federal laws that govern how technology, technical data, technical assistance, and items or materials are physically or electronically exported, shipped, transmitted, transferred, or shared from the U.S. to foreign countries, persons, or entities.  These laws protect national security and U.S. foreign policy interests, prevent terrorism and the proliferation of weapons of mass destruction, and preserve U.S. economic competitiveness.  Penalties for violating these laws can be severe, both for the individual researcher and the university.  

Regulations

Federal regulations prohibit the unlicensed export of certain commodities or information for reasons of national security or protections of trade. For more infomation, visit Regulations.

Exports

The U.S. Government defines an “export” as: 

(1) An actual shipment or transmission out of the United States, including the sending or taking of an item out of the United States, in any manner;

(2) Releasing or otherwise transferring “technology” or source code (but not object code) to a foreign person in the United States (a “deemed export”);

Your research may be subject to export controls oversight when:

  • The items, materials, technology, or technical data used in the research are identified on U.S. export control lists.
  • Working with (formally or informally), or providing technical assistance to, foreign nationals from countries currently sanctioned by the U.S. (e.g., for trade, travel, or terrorism) outside of the U.S., or within the U.S.
  • A research agreement (e.g., contract, award, non-disclosure agreement) which limits publication of results or participation in the design, conduct, or reporting of the research based on citizenship. 

Export regulation may also impact research activities, including:

  • Shipping overseas
  • Information Technology (IT)
  • International Travel with certain items, data, equipment, or information
  • Laptops, other hardware, & software
  • Attending DOD restricted conferences
  • Hiring employees
  • Lab tours
  • Disposal of controlled items & information

International Shipping

Michigan Tech utilizes a Customs Broker (Freight Forwarder) for importing and exporting: 

New Landing LLC  
U.S. Customhouse Broker & International Freight Forwarder
300 N. Broadway, Suite A
Green Bay, WI 54303
Phone: 920-496-2900
Email: NLTeam@newlandingllc.com
Ph: 920-496-2900    Fax: 920-496-2919

When shipping tangible objects or materials to an international destination:

  1. Restricted party screening (RPS) should be completed.  You can email researchsecurity-@mtu.edu to request a screening.  
  2. Determine the Export Control Classification Number (ECCN).
    1. Contact the supplier to request the ECCN
  3. Determine if your item needs an export license.
    1. Email researchsecurity-l@mtu.edu with your request - they can assist in getting a license.
    2. If a license is needed, it may take several months to obtain the license from the relevant federal agency. Plan accordingly.

Importing

Sending materials (samples) back to the U.S. from a foreign country may be subject to that country’s export laws, and U.S. import laws.

Duties and customs bonds on imports can significantly increase the costs associated with a purchase. 

Award Restrictions on Foreign National Participation or Publications

Adherence to principles of academic freedom and commitment to the open exchange and publication of ideas is fundamental to the operation of a research university. National security is dependent on research and may be compromised if the results of this research are made public.

Therefore, when the Sponsored Programs Office (SPO) identifies clauses restricting publication or prohibiting/limiting participation by foreign nationals in research award documents, SPO will:

  • Contact the Principal Investigator and unit administrator (department chair/school dean) to discuss the clauses, their impact on the project, and monitoring of compliance if the project is accepted. 
  • If a graduate student is involved, the dean of the Graduate School will be included.
  • SPO will attempt to negotiate with the sponsor to develop mutually acceptable contractual terms. 
  • SPO, in conjunction with the PI and unit administrator(s), will make a recommendation to the Vice President for Research regarding acceptance of the award at the completion of the negotiation process.

Throughout the process, the following guidelines will be followed on a case-by-case basis:

General

  • In all cases, Michigan Tech will not accept projects unless both the PI and unit administrator(s) agree (in writing) to concur with this decision and agree to comply and enforce compliance with all contract terms and conditions.

Publication Restrictions

  • Michigan Tech will not accept research funding supporting development of graduate student theses/dissertations when publication is prohibited or requires prior sponsor approval under any circumstance.
  • Michigan Tech will accept research funding when advance sponsor notification or limited-time sponsor review (generally less than 60 days) prior to publication is required for review of intellectual property.
  • Michigan Tech may consider accepting national security publication restrictions when these are immaterial to the conduct of the project or the thesis/dissertation of a student working on the project (such as testing or service projects).

Foreign National Restrictions

  • Michigan Tech may consider accepting restrictions on participation by foreign nationals for externally funded research projects when these restrictions are immaterial to the conduct of the project. This determination is to rely heavily on the recommendations of the PI and unit administrator(s).
  • Michigan Tech will not accept restrictions on participation of foreign nationals for undergraduate classes offered as part of regular options in the Michigan Tech catalog (including Senior Design and Enterprise, which are sometimes funded by external donors).
  • Compliance with these guidelines is the responsibility of the PI and the course instructor.

Technology Control Plans (TCP)

At Michigan Tech, the Technology Control Plan (TCP) is used to identify and specify measures in place to control the dissemination of Export Controlled (EC) and/or Controlled Unclassified Information (CUI) that may be utilized during the performance of Michigan Tech projects.

If you anticipate working with export-controlled items, please notify researchsecurity-l@mtu.edu as soon as you are aware so we can ensure you meet timely compliance with your project requirements.