"Exporting: What Researchers Need to Know" is a Adobe PowerPoint presentation developed by the Office of Research Integrity to provide a brief introduction to export issues, with special focus on the Export Administration Regulations (EAR). Direct questions about exporting to the Office of Research Integrity or check the Frequently Asked Questions section of this website.
The U.S. has complex export control laws and regulations which are scattered throughout the U.S. Code (USC) and the Code of Federal Regulations (CFR). In keeping with the diversity of export regulations, a number of federal agencies have been given export oversight responsibilities. Links to the export regulations most likely to apply to university research programs are available on the Federal Regulations page.
It is important to remember that exports are not just physical transfers/shipments, but include providing technical services or information, in the U.S. or abroad, to individuals who are not U.S. persons (citizens, green card holders or individuals who have been granted asylum) or to U.S. persons representing a non-U.S. entity; these are called "deemed exports" since the information is deemed to have been exported to the individual's home country. Not all exports require a license or permit; but some do. Submit an Export Determination Request form for help determining license requirements. Find out if you need an export license as early as possible, because the licensing process can take weeks to months depending on the government agency(ies) involved.
UAF and the individuals involved in exporting are responsible for insuring that we (UAF) do not engage in export activities with individuals, organizations, or countries that are prohibited from receiving US exports or participating in export activities. The ORI, on behalf of UAF, subscribes to a web-based system (Visual Compliance from eCustoms) that automates the restricted party screening process and checks 50+ lists for "red flags". We (ORI) will run the checks for you or you may purchase a seat for use by your unit (contact ORI for information on reduced pricing). However, at minimum the following lists must be checked prior to any export.
- Denied Persons List (BIS)
- Unverified List (BIS)
- Entity List (BIS)
- Specially Designated Nationals List (OFAC)
- Debarred List (DDTC)
- Nonproliferation Sanctions (State)
- Country Policies & Embargoes (State)
- General Orders found in Supplement 1 to part 736 of the EAR
Common practice for exports is to check the lists twice, once at the time the initial request is made and again on the day of export, transfer, or shipment. This should be repeated for subsequent shipments to the same parties unless you are using Visual Compliance which issues an automated alert if there is a change to any previously conducted search.
If you are asked to export to anyone on any of these lists contact the Office of Research Integrity immediately and do not proceed with the export!
People who are attempting to circumvent U.S. export controls can often be identified simply by knowing your customer (the export recipient) and watching for some common red flags. The Bureau of Industry and Security provides two good guidance documents "Things to Look for in Export Transactions" and "Know Your Customer Guidance" that give good (and brief!) practical advise for exporters.
Licensing is required for almost all exports to the following countries: Iran, Sudan, Cuba, Syria, and North Korea. Other countries are heavily scrutinized by licensing officials because of their history of diverting US export controlled items to these prohibited countries or entities.
Another thing to look out for in contracts, order forms, and other documents is the presence of boycott requirements. These are most commonly found in documents from Arab League countries requiring the boycott of Israeli companies, partners, ports of call, etc. Compliance with such restrictions is against U.S. antiboycott laws and must be reported to the Bureau of Industry and Security, Office of Antiboycott Compliance. If you have questions about specific clauses contact the Office of Research Integrity for assistance.
Planning an export? Not sure which regulations, if any, apply to your export? Don't know if you need an export license? Submit an Export Determination Request form. A member of the UAF Office of Research Integrity (ORI) will review the information you provide, check the regulations and get back to you with specific guidance. ORI is authorized to submit export license requests to the Bureau of Industry & Security (Dept. of Commerce), Office of Foreign Asset Control (Dept. of Treasury), and Office of Defense Trade Controls (Dept. of State) and can assist you with applications to other regulatory agencies.
The Office of Research Integrity provides general or program specific initial and continuing education on US export regulations and related record keeping and management requirements on an as needed basis. Contact us at firstname.lastname@example.org and let us know what topics you're interested in learning more about.
Export Related Links
- U.S. Government Accountability Office Report, Export Controls: Agencies Should Assess Vulnerabilities and Improve Guidance for Protecting Export- Controlled Information at Universities, issued December 2006.
- Federal Regulations: These are the export regulations that are most likely to apply to university researchers. It is not an exhaustive list of all U.S. export regulations.
- Material Transfer Agreements - MTAs describe what is and is not allowed when samples, data sets, materials, etc. are shared between institutions. All incoming or outgoing MTAs should be reviewed and approved by the Director of the Office of Research Integrity who serves as institutional signatory for such agreements.
- Export Licensing: Provides some basic information about when licenses may be required.
- Non-Disclosure Agreements - NDAs or similar confidentiality clauses or documents are used to specify that information or materials provided under the agreement must be protected from public disclosure or dissemination. All NDAs and similar clauses or documents must be reviewed and approved by the Associate Vice Chancellor for Research in the Office of Intellectual Property and Commercialization who serves as institutional signatory for such agreements.
- Frequently Asked Questions: This page contains links to the FAQ web pages for various regulatory agencies with export control responsibilities.