Frequently Asked Questions

• Visit our page on International Shipping here: https://ura.uchicago.edu/page/export-control-procedures#
• Notify the Export Control team at exportcontrol@lists.uchicago.edu or contact Julie DeVoe at juliedevoe@uchicago.edu

The export of an item, data or software may require an export license, and recipients of all exports must be screened against the U.S. Government’s restricted party watch-lists. Send your requests at least 30 to 60 days prior to your intended export so that compliance requirements can be resolved in a timely manner.

Yes!

If the item requires an export license, you will need to wait until we have the license. Also, you will need to wait until the Export Control Office (ECO) has completed the watch-list screening. Further, a license requirement does not have anything to do with the method of shipment (ex. hand carry, courier, etc.); if a license is requried, it is required.

Licenses are normally issued within 30 to 60 days from the date an application is submitted. Also, they may be rejected by the government without comment.

Usually, it is not difficult to obtain a license. Upon obtaining the necessary details about the export (e.g., nature of the item, purpose/end use, destination, and end user) the ECO prepares and files the appropriate type of license application (dual use –EAR license or defense categorized - ITAR license). The license application is filed through a U.S. Government agency portal, and the ECO is able to track the government’s approval process.

Note that where the Government finds the proposed export to have particular national security, biological safety, or nuclear or missile technology implications, the applicable Government agency can deliberate longer over the issuance of the license, referring it for inter-agency review or requesting UChicago to provide specific details. Hence, it is critical to allow sufficient time prior to intended export for the license application to be processed.

Where the license application is intended to cover the provision of a defense service under the ITAR, (i.e. the release in any manner of ITAR technical data to a foreign national or training or assistance to a foreign national using ITAR data), this type of ITAR license called a Technical Assistance Agreement or TAA, can take longer to prepare and longer to process.

No.

All export licenses and authorization carry provisos or conditions which are the Government’s specific restrictions or limitations on the export activity. For example, the Government may require that the recipient of the export provide a Letter of Assurance that they will not transfer or re-export the item beyond the originally licensed country destination. Limitations on the duration of the license or on access by foreign nationals from certain countries may also apply. Failure to adhere to these provisos results in an enforceable export violation.

You will likely need to obtain two licenses.

The ITAR item will require a license from the State Department, depending on the purpose of the export; the EAR item may require a separate license if controlled under the EAR. EAR items incorporated into ITAR items, lose their EAR identity; the entire item gets classified under ITAR. ITAR items incorporated into EAR-controlled or otherwise non-licensable items (No License Required) render the entire assembly ITAR, by virtue of the “see-through” rule under the ITAR regulations.

When you release ITAR-classified technical data to a foreign national (including foreign national students or visitors on campus, off campus, or abroad), this constitutes a defense service, requiring a license prior to such activity. In addition, providing technical assistance or training to a foreign military organization in the U.S. or abroad constitutes a defense service, regardless of whether the data or information being transferred is EAR or ITAR-governed. In these instances, it is necessary to first obtain a TAA from the State Department prior to releasing the data or conducting the activity, unless a particular authorized exemption applies. 

Absolutely not.

Where we are teaching or discussing any item in the public domain which happens to be listed on the USML or we have self-invented such information during the course of fundamental research with the intention to publish it, there is no license requirement. The license requirement applies when we are exporting ITAR data which we have received from a sponsor (government or industry) or research collaborator (government, industry, or research institution) under a restricted agreement i.e. it is explicitly export controlled, and does not qualify as fundamental research intended for the public domain. [See Section 2 below for further Q & As]

When in doubt, refer the evaluation to the research compliance staff.

Typically, our research instruments are not categorized under the USML; however, as noted earlier, they may be dual-use controlled under the EAR and hence require a license. Where an item is specifically designed or modified for defense purposes as defined under the USML, it is likely ITAR-classified. When an item is procured, this designation may be referenced in the vendors’ Operation Manual or sales documentation, though not always. Research institutions transferring ITAR items during the course of collaborative research do not always identify such items as ITAR controlled, unless the Material Transfer Agreement so requires. Bottom line: you cannot tell whether an item is EAR or ITAR controlled merely by looking at: if there is any doubt, refer the evaluation to the research compliance staff who will assist in the classification for license purposes.

Yes.

Commercial availability does not remove an article from export jurisdiction and a potential licensing requirement.

Yes.

All imported items are subject to U.S. Customs regulations, and may have Customs duty and reporting requirements. In addition, importing items listed on the USML require an ITAR license, unless certain specific exemptions are met. 

It depends.

If the Fundamental Research Exclusion (FRE) applies to the activity in which EAR-classified equipment is being accessed, generally no license is required. However, there are some narrow exceptions to this rule: access to a) certain levels of advanced cryptographic functionality and source code; and b) third party proprietary “use” and “development” technology pertaining to the equipment if it in fact is controlled.

Additionally, unless the situation aligns to one of the FRE exceptions, access to technical data related to operating EAR equipment does not constitute a licensable deemed export.

The best way to help determine if a license is required is to reach out to the ECO at exportcontrol@lists.uchicago.edu.     

If you have invented the item and publish the results of the invention, there is no access restriction, since it was created under the Fundamental Research/Public Domain exclusion. However, if you have purchased the item or otherwise received it from a third party (i.e. proprietary technology), then access to or use of the item that allows the foreign national insight into how it works (directly or by virtue of controlled technical data); this means the itme is restricted, and subject to license authorization. In this case, while a license application is pending or if no license is applied for or approved, the ITAR item will require a Technology Control Plan (TCP) to restrict access by foreign nationals. Contact the eCO to begin the TCP process at exportcontrol@lists.uchicago.edu.

Please note, just because an item is commercially available, one should not conclude that the item is not controlled (especilaly where ITAR is concerned).

If what is being presented is the result of fundamental research intended for publication or to be published, there is no export license requirement. However, to the extent you depart from this framework and present, in any form, data which is proprietary to another party, or restricted by the sponsor’s contract or funding mechanism, then the FRE education and conference exclusions no longer apply. Note that when presenting at professional conference, the conference has to be one that is normally associated with the academic or professional subject at hand and not closed in a way that is contrary to the premise of published fundamental research.

See our page on 'International Shipping' for details here - https://ura.uchicago.edu/page/export-control-procedures

Also, contact the Export Control Office to discuss any particulars of the export at exportcontrol@lists.uchicago.edu.

Yes, with some exceptions.

A license would be required if you have export controlled data on your laptop (i.e. proprietary data which is not the result of fundamental research),depending on its EAR or ITAR classification. In addition, the U.S. Government’s OFAC restrictions prohibit the export by any means of any article (including laptops or hand held devices) to Cuba, Iran, Syria or Sudan without specific license authorization.

More on ‘International Travel’ can be found on our page here: https://ura.uchicago.edu/page/advisory-guidance

It depends.

Scenario A: EAR dual use items: if the equipment does not require a license to export it to any country, then no, the temporary export does not require a license. If on the other hand, the item would normally require a license to export abroad, a specific license exemption such as the “Tool of Trade” exemption must apply to the temporary export or otherwise a license is required. [Note: the Tool of Trade exemption itself has numerous qualifications based on type of export, destination, and duration of export. Hence, it can only be used when all requirements are met.]

Scenario B: ITAR USML items: Yes: a license from the State Department is always required, even if you are only sending or transporting the ITAR equipment to international waters or airspace (i.e. not landing it any particular country); there is no Tool of Trade exemption under the ITAR.

For further detail concerning classification and licensing, please feel free to contact the Export Control Office directly for assistance at  exportcontrol@lists.uchicago.edu.

Yes!

The exchange of scientific information with researchers and administrators abroad can trigger control requirements such as end user screening and export licensing for tangible items.

Additionally, ITAR regulations include controls on providing a “defense service.” This applies to providing advice, training assistance, and other release of technical data to foreign nationals with respect to an item/article on the USML.

Furthermore, visiting scholars and researchers who visit the University of Chicago as part of their collaboration must be restricted from accessing UChicago laboratories wherein ITAR items or data are kept or used, unless appropriate licenses are obtained in advance. 

Most definitely yes.

Where fabrication or contract service work is being conducted using the University’s physical or human resources (i.e. a separate legal entity does not own or house the activity), it is essential that the PI/Administrator leading or conducting such activity contact URA to understand the export control implications and requirements prior to such activity occurring. Again, certain exemptions such as the ITAR bona fide employee exemption will not apply to this type of non-research/academic activity.

Where a UChicago PI or administrator has spun-off or is working for a separately organized company to perform contract services independent of his/her research or teaching position at UChicago such activity - - which is outside the scope of the university’s fundamental research exclusion - - may trigger export control requirements for which the University of Chicago will not be legally responsible.

In such situations, it is necessary for the separate legal entity to seek separate counsel pertaining to export control compliance obligations. As noted above, the bona fide employee exemption under ITAR allowing a foreign national faculty member access to ITAR data does not apply or carry over to ITAR work or access to controlled instruments or data provided by and conducted through a separate proprietary entity.

The Office of Foreign Assets Controls (OFAC) regulations pertaining to transactions with these countries vary by country. These regulations address not only export, but a much broader spectrum of activity (e.g., funding, service providing) that OFAC restricts, absent specific license approval.

For example, the Cuba sanctions regulate personal travel to Cuba as well as professional research activity conducted with Cuba institutions here and abroad. That said, the Cuba regulations allow for broad range of research and humanitarian related activity when approved by license from OFAC.

The Iran regulations, on the other hand, do not regulate individual tourist travel to Iran, but remain highly restricted as to any activity, research or otherwise, which OFAC defines as a “service” to Iran. While certain kinds of collaborative research activity are permissible with Iranian institutions, to the extent such research contemplates the exchange of material items with Iran or, providing advice on establishing a laboratory or research facility in Iran, a license may be required. Likewise, peer review or editorial comment that extends beyond the scope of what is normally defined as credential input or scientific journal editorial review may likewise trigger a license requirement.

With respect to Syria and Sudan, because of the geopolitical instability in both countries, transactions with those nations likewise must be evaluated carefully for evolving sanctions and requirements.

Hence, when contemplating any research or transactional activity with one of these OFAC countries or foreign nationals known to reside in these countries, contact Smita Singh,  Associate General Counsel, at (773) 702 -7239 or smitasingh@uchicago.edu for assistance before proceeding.