Your Export Control Office Can Give You Guidance on

Export Compliance

Universities are diverse places that encourage collaborative environments which result in many avenues for exports. Export compliance becomes a concern when researchers and staff piece of work on projects that are considered controlled or take publication restrictions that include foreign persons or foreign collaborators. Researchers take the chief compliance responsibility regarding consign control laws and regulations. Export compliance violations tin result in penalties and fines which may use to an individual, the institution or both.

Consign Compliance laws regulate the shipment or transfer of controlled items.

An export is the transfer of sensitive equipment, commodities, technology, information, technical data, software or services to:

• Anyone outside the U.S. including a U.S. citizen
• A "strange national" whether in the U.S. or away
  • Temporary Resident "foreign national" include:
    • Persons in the U.Due south. in not-immigrant status (for example, H-1B, H-iii, L-ane, J-1, F-one Practical Grooming, Fifty-1)
• A foreign embassy or affiliate

A deemed export is the "transfer" or "release" of export-controlled "technology" or source lawmaking (except encryption source code) to a strange national within the United states, including when the technology/source code is:

• available to strange nationals for visual inspection
• exchanged orally or in writing
• made bachelor by exercise or application under the guidance of persons with knowledge of that engineering

"Engineering science" is specific data necessary for the 'evolution', 'product', or 'use' of a product field of study to the Export Administration Regulations (EAR). Engineering science can take the grade of technical data (such as blueprints, plans, diagrams, models, engineering designs and specifications, manuals, etc.) and/or technical help (such as instruction, consulting services, skills preparation, transfer of technical data, etc.). For "utilize" to occur under the EAR, it must meet all six of the following elements: functioning, installation (including on-site installation), maintenance (checking), repair, overhaul, and refurbishing. The merely exception to this rule is for technology classified in the '600 Serial' which includes items and data that were previously controlled nether the International Traffic in Arms Regulations (ITAR). For "use" to occur with this technology, only ane of the six elements of use must occur. More information on "Use" Technology.

A "Strange National" is any person who is Not a:

• U.S. Denizen or National
• U.S. Lawful Permanent Resident (light-green card condition)
• Person Granted Asylum/Refugee Status

Do export command restrictions use to a proposed visitor or prospective employee?

To determine whether consign restrictions apply to a proposed visitor or prospective employee, ask the hiring/hosting section and host/supervisor the following questions:

1. Does the sponsored research have contracts or agreements for consign compliance concerns, such every bit restrictions on participation of foreign nationals in research, or restrictions on publication of enquiry results?
2. Is the visitor or prospective employee a national of an embargoed country?
3. Does the research project comprise any applied science and/or technical data that will be released to the visiting scholar or prospective employee that is controlled under EAR and/or ITAR?
4. Does the inquiry project have a Technology Command Plan?

Reviews and Guidance

The Checklist for Projects Requiring an Export Compliance Review can aid you improve make up one's mind if your research activities might be subject field to consign controls. If y'all are concerned that a project/action has the potential to involve the receipt and/or utilize of Export-Controlled Items or Information, please complete the Export Compliance Guidance Questionnaire. Our office volition review your response and contact you with additional data about your specific circumstances.

If our office determines your activities volition likely be subject to export controls, you may exist asked to complete the "Request for Export Compliance Review" via ServiceNow. Utah Land Academy's Export Compliance Officer (ECO) will review the request to determine if a technology command programme or export license is required. To access the request class, log into ServiceNow, click on Service Catalogs, Office of Enquiry, Forms.  For questions and/or help, contact the Function of Research Integrity and Compliance at 435-797-0485 or compliance@usu.edu.

International Students, Scholars, and Employees

As part of the visa awarding process for international students, scholars, and employees, USU must attest to sure consign control certifications. To ensure compliance with visa application requirements, the Enquiry Integrity and Compliance part conducts export compliance reviews prior to the submission of visa applications. Role of this process may require that the supervising professor and/or Department Head complete and sign the Accounted Export Questionnaire. If you programme to host an international student, scholar, or employee, and are unsure whether or not there is export controlled equipment/data/technology in your lab, please submit the Accounted Export Checklist to compliance@usu.edu. We will make up one's mind if you are working with export controlled equipment/information/technology and what boosted steps (if whatsoever) need to be taken to ensure compliance with federal regulations. In a large bulk of cases, no further action will be required and the visa process can move forward as usual.

Export Controls: Guidance on Iranian Sanctions

The existing U.S. sanctions imposed against Islamic republic of iran are the strictest ones to date. The current Iranian Transactions and Sanctions Regulations were fully imposed on November five, 2022 and are administered by the U.S. Section of the Treasury's Office of Strange Assets Control (OFAC).

Training

CITI Preparation Instructions

How to take the CITI Export Compliance Course:

• Get to the CITI website.
• Log in.
• Click on "Add together Amalgamation" and type in Utah Land Academy if you are not already affiliated.
• Click "View Courses" next to Utah Land University.
• Curlicue to the bottom of the page. Under "My Learner Tools for Utah Country University," click "Add together a Course."
• Respond to the COVID-19 question ("Yes" if you want to add the course, "Not at this time" if y'all do not) and click "Next."
• Check the "Export Compliance (EC) Course" box and go to the next folio. Y'all are now registered for the course.
• To complete the course, click "Kickoff Now" in the Consign Compliance box on your form list.
• Click "Get-go" side by side to the "Introduction to Export Compliance" module.
• You do NOT accept to consummate any of the Optional Modules.

ILS Training Instructions

Consign compliance training via USU's Training & Professional person Development catalog is required for anyone making an export-controlled purchase.

How to take the USU Consign Compliance Grooming for Researchers grade:

• Go to the Training and Professional Development website.
• Click "Sign in to the ILS"
• Subsequently logging in, click "Catalog" in the side bar on the left side of the screen.
• In the Search bar at the top of the screen, type in "Export Compliance for Researchers".
• Select the course from the drib-down carte du jour.
• Click "Enroll" and complete the course.

Individual/Institutional Responsibilities

The USU Export Compliance Program assists University Personnel with the identification and direction of research projects subject to U.S. export command laws. The program falls under the auspices of the Office of Research and is managed past the Academy's Export Control Officer (ECO), who reports to the Vice President for Inquiry. The Manager of Research Integrity and Compliance currently serves equally the ECO. The Vice President for Research has been designated every bit the Academy'southward Empowered Official (EO) for export control purposes.

The Consign Control Officer (ECO) assists members of the Academy community to assess their export control obligations and facilitates the procurement of required export licenses. The ECO is responsible for the following:

• Reviewing and approval Technology Control Plans (TCP);
• Making determinations on consign classifications and licensing requirements;
• Approving license applications on behalf of USU;
• Discussing and recommending activity on issues presented to the programme;
• Developing and maintaining USU's export control policies and procedures;
• Recommending training priorities; and
• Monitoring export-controlled projects for regulatory compliance.

Considering violation of U.S. export control regulations can issue in fines and sanctions confronting both private inquiry and USU, USU policy requires all Academy Personnel to exist enlightened of and comply with export command regulations and applicable University policies and procedures. With regard to specific research projects, USU policy places primary compliance responsibility on researchers. All researchers are expected to notify appropriate administrative staff when they suspect that export control laws apply to their research and to enquire the ECO for assistance in making a determination, when necessary.

Faculty/Researcher/Main Investigator

• Place research activities in which export control problems might be.
• Notify the ECO of identified export control issues.
• Work with the ECO to put technology command plans (TSPs) in identify and accurately classify items for licenses.
• Inform enquiry team members of any applicable export command requirements, including TCPs pertaining to the project.
• Ensure the advisable protection and management of all consign-controlled technology in his/her possession.
• Provide all consign documentation to the ECO for archiving.

Enquiry Administrators (or any person preparing inquiry proposals or sponsored inquiry grants or agreements)

• Answer the export control question(s) and provide relevant data to enable a review by the ECO.
• Identify language in proposal or requests for proposals that attempts to place restrictions on the university'southward ability to publish the research or to place restrictions on the participation or access by Strange Nationals.
• Notify the ECO in the event that such restrictions are identified.

Section/Higher/Unit of measurement Managing director/Dean

• Approve the TCP's of their kinesthesia members.
• Administer and monitor existing TCPs of their faculty members.
• Notify the ECO of any bug that arise regarding the implementation of, or compliance with, whatever TCP.

Empowered Official (USU'south Vice President for Research)

• Decide when a proposed activeness cannot exist conducted at USU.
• Sign license agreements on behalf of USU.
• Accepts liability in communication with ITAR violations.

International Concerns

While most international travel abroad does not require an export license, travel to certain strange locations may be governed by consign control laws. For example, the U.S. Department of the Treasury regulations restrict sure fiscal transactions with specific embargoed countries. Besides traveling away with certain controlled tangible items, software, engineering science or information may also require an export license. Individuals traveling to restricted, sanctioned, or embargoed countries are responsible for notifying the ECO who volition work with the individual to determine whether approval or licenses are necessary.

International shipments may also have the aforementioned requirements as the international travel noted to a higher place when shipping to restricted, sanctioned, or embargoed countries. Cheque with the ECO to decide if whatsoever restrictions apply.

International Travel

Travel to other sanctioned or embargoed destinations is subject to federal licensing and trade sanction regulations which heavily regulate and sometimes prohibit travel and other interactions with such countries, including research and seemingly innocuous action such as teaching a form with publicly bachelor information.

USU employees who travel internationally to teach or behave research should be aware of the possibility of consign license requirements for items, materials, or equipment that they deport with them. Mitt-carrying items, materials, or equipment outside of the U.South. (even temporarily) may exist considered an export. All exports should exist screened for export license requirements.

You should NOT take with you lot any of the following technology or data without first obtaining specific advice from the Part of Research Integrity and Compliance:

• Proprietary data or information received under an obligation of confidentiality
• Patentable information or whatever sensitive/personal
• Data or analyses that result from a projection for which there are contractual constraints on the broadcasting of the research results
• Computer software received with restrictions on export to or on admission by strange nationals
• Devices or equipment received with restrictions on export to or on admission by foreign nationals
• Devices, systems or software that was specifically designed or modified for military or space applications
• Classified information

For more information regarding International Travel restrictions, please visit the Risk Management website.

International Shipments

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Whatever individual intending to transmit export-controlled items, technical data or applied science exterior the U.S. must first contact the Consign Compliance Officer, in the Role of Inquiry Integrity & Compliance.

International shipments of items, technology, biological and chemical materials, and software are subject to numerous export and import obligations. University personnel who engage in international aircraft are responsible for ensuring compliance with U.Southward. export compliance laws and regulations.

Shipment of controlled items should be planned well in advance, as information technology may take several weeks to several months to obtain any necessary license.

The Consign Compliance Officer volition assist with screening to ensure that the individuals and/or entities to which items are being shipped are eligible to receive those materials, i.due east. that they do non appear on "specially designated national" or "banned parties" lists and are non in embargoed locations.

Items being shipped must exist properly packaged. Shipment of items controlled nether the EAR and ITAR should be clearly marked as controlled with the regulatory information cited.

When importing items into the U.S. it is necessary to piece of work with the vendor and Purchasing Services in society to ensure that all shipping documents are filled out properly and to avoid whatever additional fees from U.S. Customs and Border Protection. Temporary imports may be eligible for license exceptions and be duty free under the condition that proper forms are completed prior to shipping the items.

Federal Regulations and Oversight

There are four US government agencies with several sets of regulations that currently impact exports, they include:

• USU Export Compliance Plan Manual
• Export Administration Regulations (EAR); U.S. Department of Commerce
• International Traffic in Arms Regulations (ITAR); U.S. Section of Land
• Function of Foreign Asset Controls (OFAC); Department of Treasury Regulations
  
  • The OFAC administers a number of unlike sanction and embargo programs. The sanctions tin be either comprehensive or selective, using the blocking of assets and trade restrictions to attain strange policy and national security goals. Some export licenses may be issued to ship or transfer applied science, data, or other items to sanctioned countries on a case-by-case ground.

Export Compliance Exclusions

There are several exclusions to Export Compliance Laws, in item:

• Key Research Exclusion – inquiry that results in published and broadly shared data.
• Employment Exclusion – no license is required to share covered technical data with a foreign national that is:
  • Not a national of certain countries (depending on the ECCN)
  • A full-fourth dimension employee of USU
  • Has a permanent U.S. accost while employed
  • Brash in writing not to share covered technical data with any strange nationals
• Educational Information Exclusion – mutual information apropos general scientific, mathematical, or engineering principles taught at universities or is in the public domain.
• Publicly Available or Public Domain Information Exclusion – Information that is published and generally available to the public, besides equally publicly bachelor technology and software.

Purchasing Consign-Controlled Items

What do I need to know?

Nearly every item, textile, or software (collectively, "products") in the U.S. is bailiwick to U.Southward. consign controls. Products are listed either on the United States Munitions List (USML) or the Commerce Command Listing (CCL). If a product is listed on the USML, it is subject to the International Traffic in Artillery Regulations (ITAR). They are federal regulations administered by the Directorate of Defense force Trade Controls under the U.S. Department of Country. The ITAR governs all war machine, weapons, and space related items and services. If a product is listed on the CCL, it is subject to the Export Administration Regulations (EAR), which are administered by the Bureau of Industry and Security (BIS) under the Department of Commerce.

What is an Consign Command Classification Number?

Every production has an export command nomenclature. The classification determines the level and type of export restrictions. Products listed on the USML are highly controlled and accept Roman numeral consign classifications, such as XII*(b)(3)(2)(A). If the product cannot be constitute on the USML, nosotros look to the CCL to determine if a nomenclature exists.

Products listed on the CCL will generally take a export command classification number (ECCN, such as 3C005 or 6A003. Many products that are used on a daily basis have an export command classification number of "EAR99", which is a catch-all designation for products subject to the EAR but not listed on the CCL.

How exercise I know if a product I am purchasing or receiving is consign-controlled?

Most daily-use products that are purchased or received at USU are likely classified as "EAR99" (pens, test tubes, autoclaves, etc.).  Still, don't presume that just considering a product is inexpensive or can easily be purchased online, information technology is "EAR99", and is not listed on the CCL or USML.  Many commercially available products nosotros utilize at the University, including laptops, prison cell phones, smart phones, GPS systems, telescopes, and drones, are, in fact, listed on the CCL. Moreover, some commercial off-the-shelf products, such as thermal imaging cameras, precision gyroscopes, and focal plane arrays are highly controlled.

Whenever you lot are purchasing or receiving a product, you lot should enquire the vendor if the product is consign regulated. If so, enquire the vendor to provide you the classification number. If you need assist, delight contact the Academy'south Export Compliance Officer (ECO).

What are the Red Flags when buying or receiving products?

• Read the sales terms and conditions! If y'all run across any reference to "export controls" or "compliance with consign controls", verify the product's export nomenclature. While sales terms and atmospheric condition sometimes include pro-forma export control language, more than often than not there is a reason this language is added. The vendor may be selling export-controlled products.
• Await at the Buy Gild, the Company Quote, or Society Summary. Does it contain any reference to "export controls" or mayhap the "ITAR"? Sometimes, vendors will explicitly state on the PO or sales quote that the product you are about to procure is export controlled.
• When products arrive, check the packaging for any reference to "consign controls" or "export command nomenclature numbers".
• The vendor or sender of the product requests that you sign an "End-User" certification or some other document that requires y'all to certify the production's end-employ and end-user. Such certifications are usually an indication that the product is controlled. If y'all are asked to sign an "finish-user" document, delight contact the ECO. Only the DRIC is authorized to sign the "stop-user" document.
• If you see whatsoever references to any of the above red flags, contact the ECO as soon as possible.

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Source: https://research.usu.edu/compliance/export

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