By: Maggie Gallagher-Mondak
What is an Export?
- When an item is transferred physically from the U.S. to a foreign country
- An export includes actual shipment of goods or carried during international travel,
- An export is also when information is transmitted to a person or entity in a foreign country, whether in writing, or via email, phone, fax, internet, and verbal conversations.
What is a Deemed Export?
- When information is transferred to a foreign national who is visiting within the US
Why do we have Export Controls?
- Federal export control laws restrict exports in the interest of protecting the national security and domestic economy. The events of 9/11 have resulted in heightened concerns about national security and stricter interpretation and enforcement of export control laws and regulations by the federal government.
Who counts as a “foreign national”?
- All foreign persons in the U.S. as tourists, students, businesspeople, scholars, researchers, technical experts, salespeople, military personnel, diplomats, etc.
- Any foreign corporation, business association, etc. that is not incorporated in the US
- Any foreign government
- Green card holders, refugees, and asylee’s are NOT considered foreign nationals but are considered US persons
- At VCU, all international employees and visitors must be processed through VCU’s Global Education Office (GEO). (http://www.global.vcu.edu/students/immigration/) The GEO will take the appropriate forms and forward the export review form to VCU’s Office of Research.
Who governs export controls at the federal level and issues licenses allowing for an export?
- U.S. Department of Defense
- ITAR (International Traffic in Arms Regulations)
- US Munitions List
- 22 CFR Parts 120-130
- U.S. Department of Commerce
- EAR (Export Administration Regulations)
- Commerce Control List (CCL)
- “Dual-Use” technologies – having both commercial and military applications
- 15 CFR Parts 730-774
- U.S. Department of the Treasury
- OFAC (The Office of Foreign Assets Control)
- Sanctions List
- Specially Designated Nationals List (SDN)
- 31 CFR Parts 500-598
Exemptions to Export Controls
- Fundamental Research Exemption – any basic and applied research in science and engineering, the results of which are ordinarily published and shared broadly within the scientific community.
- Public Domain Exemption – information that is published and that is generally accessible or available to the public
- Education Exemption – information that is normally released by instruction in catalog-listed courses and/or associated teaching laboratories associated with those courses of academic institutions.
- Disclosures to Bona-fide Full Time Employees (ITAR exemption only)
VCU’s Export Compliance Office
- Director of Export Compliance Office: Quinton Johnson
- VCU’s Website: http://www.research.vcu.edu/export_control/
- VCU’s Policy: Compliance with United States Export Control Laws (READ THIS!!!)
- Dual Use Research of Concern (DURC) – Interim Policy
VCU’s Required Actions in Advance of International Travel – These requirements apply to all VCU faculty, staff, students and volunteers who travel internationally as part of VCU research, education, service or employment.
- Request Pre-Approval for International Travel through Chrome River. Be sure to check the “Travel Outside 48 contiguous States” box.
- Send an e-mail to exportctrl@vcu.edu listing the following: Dates, Destination, Purpose and Account covering the expenses. The Office of Research Administration and Compliance (ORAC) will review the information to determine potential export issues. If additional information is required, the traveler will be asked to complete an International Travel Checklist for evaluation. ORAC will inform the traveler of the results of its evaluation.
- All international travelers should review the TMP Exceptions section of the website.
Previous CHS-OSP posts on Export Controls:
- Important Policy Update on Dual Use Research of Concern (DURC) – Interim “must read” policy for life sciences research
- In Case You Missed It: The Roth ITAR Case – Why Dr. John Reece Roth went to prison
- Export Control Training Available – VCU’s Export Controls Training
- Why Export Control Should Matter to You – Research being targeted for theft
The main take-aways from today’s post is all University employees should be aware of export controls and why they are important. Protect yourself and your work by being cognizant of the consequences and responsibility you have when allowing visitors in your lab, securing data, shipping materials, and when traveling overseas. Contact VCU’s Export Control Office and take the steps needed to stay compliant by making sure necessary licences are in place.
Failure to obtain the appropriate license or other government approval, or failure to file correct export documentation or shipping documents can result in severe fines and other penalties.
