Shipping Internationally
Notify the Export Control and International Compliance (ECIC) Office at least 30 to 60 days prior to your intention to export so that compliance requirements can be resolved. Export recipients must be screened against the U.S. Government’s restricted party lists. In addition, the export of an item, technical data, or software may require an export license or other governmental approval.
Yes. If the item requires an export license, you will need to wait until OSU receives an approved license from the appropriate government agency. Absent any screening concern and no license requirement, an export can proceed with ECIC's authorization.
It depends; the method of export has nothing to do with whether a license is required. However, in certain circumstances the method of export may allow the exporter to qualify for the use of a license exception.
In some cases, yes. The answer depends on the export control jurisdiction of the item, as follows:
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 exception, such as the “Tool of Trade” exception, must apply to the temporary export or otherwise a license is required. This exception has several qualifications based on the type of export, destination, and duration of export. Hence, it can only be used when all requirements are met.
Scenario B. ITAR, defense articles and technical data: Yes; a DSP73 license is always required, even if you are only sending or transporting the ITAR-controlled technology or technical data to international waters or airspace (i.e. not landing in any particular country).
You will likely need to obtain two licenses.
The ITAR item will require a DSP license, 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 may lose their EAR identity, resulting in the entire item getting 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.
Yes. All imported items are subject to U.S. Customs regulations, and may have Customs duty and reporting requirements. Importing items listed on the USML requires an ITAR license, unless certain specific exemptions are met. Additionally, a license may be required in the event that you are importing Nuclear Regulatory Commission regulated items, or items from an embargoed country (currently Cuba, Iran, North Korea, and the Crimea, Donetsk, & Luhansk - Regions of Ukraine).
Contact the Export Control and International Compliance office prior to exporting your laboratory equipment or tools, even if you intend to take possession upon arrival, hand carry them abroad, or if you're sending them abroad for a repair, as an export license may be required.
In the event your export does not require a license, the Export Control and International Compliance office can provide you with a No License Required (NLR) or license exception letter to send with your equipment or take with you and keep with your accompanying equipment during your work abroad to ease your travels.
Note: If you are traveling to China, an export license may be required, however, a license exception letter is required.
Deemed Exports
In some cases, yes. Assuming the equipment is being accessed and the foreign national is only using the equipment, generally speaking no license is required. However, there are some exceptions to this rule: access to a) certain levels of advanced technology, including but not limited to, cryptographic functionality and source code; b) proprietary third party “use” and “development” technology pertaining to research equipment if the equipment itself is dual use controlled; or if they are c) operating, installing (including on-site installation), maintaining (checking), repairing, overhauling, and refurbishing the equipment. If there is an ITAR item or technical data the laboratory, access to that item or technical data must be restricted.
In some cases, this will also be licensable. Providing data pertaining to the “use” and development” of a controlled technology to a foreign national or providing access to ITAR technical data (even if such data is not intended to be used) will require license review.
ITAR technical data is defined as information which is required for the design, development, production, manufacture, assembly, operation, repair, testing, maintenance, or modification of defense articles; this can be in the form of blueprints, drawings, photographs, plans, instructions, or documentation. This also includes 600-series items (items previously categorized as ITAR) controlled by the CCL, information covered by an invention secrecy order, or software directly related to a defense article.
If you’ve purchased the item (or otherwise received it from a third party and it is not already in the public domain, i.e., it is proprietary technology), then access of any kind or use of the item (directly or by virtue of receiving controlled technical data, e.g., in the form of a manual) is restricted and will be subject to license authorization. In this case, if no license is required, the ITAR item will require a Technology Control Plan (TCP) and potentially an Access Control Plan (ACP) to restrict access by foreign nationals.
However, if you’ve invented the item you should work with the Export Control and International Compliance office as well as the Intellectual Property and Licensing group within Advantage regarding potential controls and next steps.
A 'defense service' entails the furnishing of assistance (including training) to foreign persons, whether in the U.S. or abroad, in the design, development, engineering, manufacture, production, assembly, testing, repair, maintenance, modification, operation, demilitarization, destruction, processing, or use of defense articles. It also includes the furnishing to foreign persons of any technical data controlled under the USML whether in the U.S. or abroad, and military training of foreign units and forces, regular and irregular, including formal or informal instruction of foreign persons in the U.S. or abroad or by correspondence/online courses, technical, educational, or information publications and media of all kinds, training aid, orientation, training exercise and military advice. In these instances, it is necessary to first obtain a Technical Assistance Agreement (TAA) from the State Department prior to releasing the data or conducting the activity (assuming that a TAA can be obtained, which, for some countries, such as North Korea, it cannot).
It is also important to note, when you “release” ITAR technology or technical data (i.e. information or software not in the public domain about design, use, modification, repair, etc. of a defense article) to a foreign national (including foreign national students or visitors on campus, off campus, or abroad), this constitutes an export, requiring a license prior to such activity. In this context, ITAR technology or technical data can be “released” merely by the provision of visual access, computer access, or oral discolsure of the data, even where it is not being utilized by the foreign national.
Not necessarily. If you are teaching or discussing an item in the public domain, including an item that also has a defense application, a license may not be required. Moreover, if you have developed an item or information yourself during the course of 'fundamental research,' even if said item or information can have a defense purpose, a license may not be required. If you are in doubt, please contact the ECIC for assistance.
Export Licensing
Licenses are normally issued within 30 to 90 days from the date an application is submitted. Normally, though subject to exceptions, it is not difficult to obtain a license. Upon obtaining the necessary details about the export or deemed export (e.g., nature of the item, purpose/end use, destination, and end user) the Export Control and International Compliance (ECIC) Office prepares and files the appropriate type of license application. The license application is filed through one of the online U.S. Government agency portals, and the ECIC tracks the government’s review process. Licenses are normally issued within 30 to 90 days; However, license approvals for activities with or in an embargoed country (currently Cuba, Iran, North Korea, or certain parts of Ukraine) may take up to 6 - 9 months to obtain.
Note: If 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 the College to provide further details. Hence, it is critical to allow sufficient time prior to intended export or deemed export, for the license application to be processed.
No. Export licenses and/or authorizations can include 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. The Government may also include limitations on the duration of the license, or on access by foreign nationals from certain countries. Failure to adhere to these conditions will result in an enforceable export violation.
Not necessarily. Under the EAR, license requirements are on an item-by-item, country-by-country, or end use/user basis. As such, your particular item may or may not require a license. Under the ITAR, exports to all countries presumptively require a license and, in some cases, depending on the country, the State Department will not, as a matter of policy, issue a license. Therefore, it is essential that all exports be cleared by the ECIC.
Not typically. Generally, the College’s research instruments are not categorized under the USML and the College should be notified prior to transfer if the instruments are ITAR-controlled. As an example, when an item is procured, this designation may be referenced in the vendors’ operation manual or sales documentation, though not always. If your item or tech data is ITAR-controlled, you will require a Technology Control Plan (TCP) or Access Control Plan (ACP) to be put in place prior to receipt and, depending on who will be working with it, an export license or Technical Assistance Agreement (TAA) may also be required. It’s important to note, research institutions transferring ITAR technology or technical data during the course of collaborative research do not always identify such technology or technical data as ITAR-controlled, unless the Material Transfer Agreement (MTA) or similar agreement so requires.
It’s more likely the instruments may be dual-use controlled and found on the CCL (under the EAR), and may still require a TCP, ACP, export control license, or other documentation.
Bottom line: you cannot tell whether an item is EAR or ITAR controlled merely by looking at the MTA or procurement documentation. When in doubt, refer the evaluation to the Export Control and International Compliance (ECIC) Office.
Fundamental Research Exception (FRE)
When presenting research results abroad, attending professional conferences etc., as long as what is being presented is the result of 'fundamental research' intended for publication or to be published (without the requirement for prior approval), there should not be an export license requirement. If you present data which is proprietary to another party, or restricted by the sponsor’s contract, then the 'fundamental research', education, and conference exclusions no longer apply.
Note: When you are presenting at a professional conference, that conference must be open to the interested public or those normally associated with the academic or professional subject at hand and not closed to participation in a way that is contrary to the premise of placing 'fundamental research' results in the public domain.
Yes. The College may receive funding with publication and/or citizenship restrictions where the senior leadership approved the agreement. This will involve project-level restrictions that directly limit or restrict foreign national participation and/or public release. These controlled activities will also require a Technology Control Plan (TCP) to be completed for all participants prior to activities commencing.
International Travel Abroad
Yes, with several exceptions. If, for example, you happen to have export controlled technical data on your laptop, then traveling outside of the Unites States with your laptop could require an export license, depending on its export classification and your destination. In general, it is best practice not to travel with a laptop or other portable device containing such controlled data; it is recommended to either remove the data prior to travel or to travel with a clean device.
Reminder: If you have an active Technology Control Plan (TCP) you are required to notify the ECIC Office prior to travel.
Note: If you are traveling to China with your laptop or a cellphone, a license exception letter is required.
If EAR (dual use) controlled, such items may or may not require a license or qualify for license exceptions, such as the Tools of Trade exception, and therefore require prior classification and review by the Export Control and International Compliance office. If the item is ITAR controlled, a license is most likely required, and the Export Control and International Compliance office will apply for an export license on your behalf.
Office of Foreign Assets Controls (OFAC)
The Office of Foreign Assets Control (OFAC) regulations that address not only export, but a much broader spectrum of activity (e.g., imports, financial transactions, or providing a service) that OFAC requires specific or general license approval.
When contemplating any research or transactional activity with one of these OFAC countries or foreign nationals known to reside in these countries, contact the Export Control and International Compliance Office for assistance before proceeding.
External Researchers and Collaborations
Users should be screened by the ECIC at the time of the Agreement to ensure that the College is not partnering with any individual or entity identified on a government restricted party list. Any changes in the external party or their participating personnel would have to be subsequently flagged and screened.
There may be export control implications. In the event that the equipment or data is export controlled and not being used for 'fundamental research' purposes, access restrictions may apply. Depending on the level of controls required, foreign nationals may need prior authorization and a Technology Control Plan (TCP) to ensure that access restrictions are being maintained appropriately. This would be true whether the party brings in this equipment or data for their own use, for the College's use, or for collaborative use.
This may result in export control implications. For example, access restrictions may apply if the data is subject to export control regulations or is not considered publicly available, published, or educational information or resulting from 'fundamental research.'
Note: if the remote external researcher or user is a non-U.S. Party located outside of the U.S. and the College intends to export any items or information back to the researcher or user, an export license determination would need to be performed prior to transfer.
Note 2: if the remote external researcher or user is located in an embargoed country, they may have difficulty accessing commonly used systems (ex. Zoom, Duo, Microsoft Office etc.).
Yes, in several respects. Restricted Party Screenings should be performed at the outset of any international institutional collaboration to ensure that the collaborating entity does not appear on any of the U.S. Government's Restricted Parties Lists. If there is any question as to whether you might be sharing research results not intended for publication, or if you are transferring abroad any item, technical data, or software that could be controlled under the EAR or ITAR, contact the ECIC office prior to proceeding.
Scholars and researchers who visit the College as part of the collaboration must be restricted from accessing areas wherein sensitive or controlled research is occurring, or items or technical data are kept or used without ECIC approval.
International Visitors and Visual Compliance
Try a different browser, clear your cache and cookies, and/or ensure your password does not contain these, @, #, $, *, specific special characters.
Note One (1): Other special characters are allowed.
Note Two (2): If you are still having trouble logging in, please notify the ECIC at [email protected].
Use Administration and further down within the form you will be able to enter your Department or Division information.
Include all universities/institutes of higher education where the international visitor/hire has or will earn their degree(s) or were/are employed.
Note: If a C.V. is attached to the application you may respond with, “Please see attached C.V.”.
If the international visitor/hire will be operating, installing (including on-site installation), maintaining (checking), repairing, overhauling and refurbishing any technology, hardware, software, or materials.
Note: Examples include but are not limited to mass spectrometers, 3-D printers with metallic end products, or geospatial software.
The ECIC will review the information provided and will follow-up with any questions. Once the review is complete you, and the Office of International Services (OIS), will be notified of the approval, if an export license or other documentation is required, or denial. OIS will then assist with next steps in the visa process.