Export controls usually arise for one or more of the following reasons:
- The nature of the export has actual or potential military applications or economic protection issues.
- Government concerns about the destination country, organization, or individual.
- Government concerns about the declared or suspected end use or the end user of the export.
These laws protect national security and US foreign policy interests, prevent terrorism and the proliferation of weapons of mass destruction, and preserve US economic competitiveness.
These regulations apply to research and other activities regardless of the source of funding. The US government considers this issue very serious and has created regulations across a broad spectrum. The exchange of technology, services, and scientific information is viewed as having significant potential to disrupt US foreign policy and national security.
Federal Agencies
Michigan Tech adheres to multiple federal agencies’ export control regulations. The three main regulations are:
The Department of State’s International Traffic in Arms Regulations (ITAR) implements the Arms Export Control Act (AECA).
The Department of Commerce’s Export Administration Regulations (EAR) are a set of regulations found at 15 C.F.R. § 730 et seq. They are administered by the Bureau of Industry and Security, which is part of the US Commerce Department.
The Treasury Department’s Office of Foreign Assets Control (OFAC) administers and enforces economic and trade sanctions that have been imposed against specific countries based on reasons of foreign policy, national security, or international agreements.
ITAR/EAR Overview
Federal regulations promulgated and enforced by the Department of State's (ITAR), and the Department of Commerce's (EAR) prohibit the unlicensed export of specific technologies for reasons of national security or protection of trade. If University research involves such specified technologies, the ITAR and/or EAR may require the University to obtain prior approval from State or Commerce before allowing foreign nationals to participate in the research, partnering with a foreign company, and/or sharing research — verbally or in writing — with persons who are not US citizens or permanent residents. Even transporting export controlled information in written or electronic form to a foreign country, without the intent or actual sharing of that information, is considered a violation. The consequences of violating these regulations can be quite severe, ranging from loss of research contracts to monetary penalties to jail time for the individual violating these regulations.
The Sponsored Programs Office (SPO) and Principal Investigator (PI) conduct a thorough review of research projects and contract provisions to determine whether and how a particular research project is impacted by those regulations. PIs have the following responsibilities:
- To review and cooperate with SPO prior to commencing any research in order to determine whether their research is impacted by the controls or requirements contained within export regulations.
- To re-evaluate that determination before changing the scope of or adding new staff to the project to determine if such changes alter the initial determination.
- To make export determinations far enough in advance to obtain an authorization, should one be required.
The University will assist PIs in assessing the application of such regulations, but primary compliance responsibility rests with the PI of the research.