On Thursday, September 13, members of the research administration community came together to view the NCURA webinar on “Export Controls: The Basics Research Administrators Need to Know.”  Bottom line:  Export Controls is a shared, investigator and institutional responsibility.

What are export controls?

Export controls regulate the transfer of controlled technical information, items and services. Types of activities covered include shipment or transfer of items from the U.S. to other countries, transfer of items between other countries, within other countries (including within the U.S. to a non-U.S. person), or even items passing through a country.

For example, if a researcher has developed sensitive technology and wants to share that technology with a colleague in China, they may have to get a license to export the technology.  There are a number of important considerations in this example: the nature (export classification) of the technology, where it is being exported and to whom it is being exported.

What kinds of items fall under export controls?

Items that might require a license to export include certain information, technologies, and software.  Also included are items meant for military use, items that may have both civilian and military use (i.e., dual-use), and other tangible items such as certain chemicals, microelectronics, nanomaterials, sensors, etc.

How do I know if I need a license to ship an item or engage in a service?

There are three federal departments that control the majority of exports.  Within each are agencies that have the authority to issue export licenses.  The departments, their agencies and areas of oversight are listed below.

• U.S. Department of Commerce, Bureau of Industry and Security (BIS)
• U.S. Department of State, Directorate of Defense Trade Controls (DDTC)
• U.S. Department of Treasury, Office of Foreign Assets Control (OFAC)

The U.S. Department of Commerce has jurisdiction over most goods exported from the U.S.  It oversees compliance with the Export Administration Regulations (EAR) and maintains a Commerce Control List (CCL) of items that are subject to the regulations.

The Directorate of Defense Trade Controls (DDTC) oversees defense items and services to ensure they are consistent with national security.  It also enforces the International Traffic in Arms Regulations (ITAR) and maintains the United States Munitions List (USML).

OFAC, the Office of Foreign Assets, administers and enforces economic and trade sanctions.  They maintain a list of restricted parties that should be checked as part of your screening process for individuals receiving regulated items or prior to engaging in services.

Whose responsibility is it to check with these agencies?

At CSU, Global and Secure Research is the office that will work with you on your export control plan and will apply for any required licenses.  However, export controls has to be a shared responsibility between researchers (whether the research is funded or not) and a number of entities within the institution, including but not limited to:

• Admissions
• *Global and Secure Research
• Human Resources
• Office of Sponsored Programs
• Purchasing
• Research Integrity and Compliance Review
• Travel

*Links provided for those offices to contact first if you have a question.

When should I contact Secure and Global Research?

Contact Secure and Global Research as soon as you know you one of the situations below applies or if you have a question regarding export controls.  Because of limited staffing and due to lag time in receiving required licenses, it’s important to begin early to ensure projects are not delayed.  In 2009, licensing agencies within the Department of Commerce, State, and Treasury processed over 130,000 applications, therefore it is important to begin the process early!

Example situations of when you should contact Secure and Global Research:

• Potential or current collaboration with an industry or defense contractor
• Potential or current collaboration with a non-U.S. collaborator
• Travel and/or projects outside the U.S.
• Project involving a sanctioned country
• Projects involving restrictions on publications
• Projects prohibiting the involvement of non-U.S. persons
• Projects requiring an export control plan
• Responding to a solicitation on an ITAR-controlled topic
• Responding to a solicitation from the U.S. Department of Defense
• Procurements of high-risk equipment/technology/software
• Overseas deliveries
• Any time you have an export control question/issue

Resources

• CSU’s Secure and Global Research website.
• Bureau of Industry & Security (BIS)
• Directorate of Defense Trade Controls (DDTC)
• Office of Foreign Assets Control (OFAC)

 Special Thanks

This blog would not have been possible without the presentation and materials provided by Kay Ellis, Director, Export Control Program, University of Arizona and Jennifer Saak, Managing Director, Traliance.  I would like to thank them for sharing their insights and expertise with the Research Administration community at-large and note that the information provided in this blog was sourced from “Export Controls: The Basics Research Administrators Need to Know,” NCURA webinar and handouts by Kay Ellis and Jennifer Saak.