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 work on projects that are considered controlled or have publication restrictions that include foreign persons or foreign collaborators. Researchers have the primary compliance responsibility regarding export control laws and regulations. Export compliance violations can result in penalties and fines which may apply to an individual, the institution or both.

An overview of USU's Export Compliance Program, along with details regarding faculty and staff's obligations under U.S. export control regulations can be found in the USU Export Compliance Program Manual.

Devin Hansen
Phone: 435-797-0485
Email: devin.hansen@usu.edu

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Reviews & Guidance

Review and guidance are available to help you managing export compliance requirements.

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Training on export compliance is available through CITI.


Individual & Institutional Responsibilities

Individuals and offices at USU have specific responsibilities for export compliance.


International Travel

International travel may be subject to export control regulations.

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International Shipping

International shipment of items, technology, material, and software are subject to export and import obligations.


Federal Regulations & Oversight

USU is subject to government agency regulation under federal law.


Technology Control Plans

Documentation outlining how a researcher will handle and safeguard export controlled material.

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Purchasing Export-Controlled Items

Nearly every item, material, or software in the U.S. is subject to U.S. export controls.

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Export Control Working Group

The group collaborates to address questions, concerns and procedures related to USU's export control compliance program.

Export 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 “foreign national” whether in the U.S. or abroad
    • Temporary Resident “foreign national” include:
      • Persons in the U.S. in non-immigrant status (for example, H-1B, H-3, L-1, J-1, F-1 Practical Training, L-1)
  • A foreign embassy or affiliate

A deemed export is the “transfer” or “release” of export-controlled “technology” or source code (except encryption source code) to a foreign national within the United States, including when the technology/source code is:
  • available to foreign nationals for visual inspection
  • exchanged orally or in writing
  • made available by practice or application under the guidance of persons with knowledge of that technology

“Technology” is specific information necessary for the ‘development’, ‘production’, or ‘use’ of a product subject to the Export Administration Regulations (EAR). Technology can take the form of technical data (such as blueprints, plans, diagrams, models, engineering designs and specifications, manuals, etc.) and/or technical assistance (such as instruction, consulting services, skills training, transfer of technical data, etc.). For “use” to occur under the EAR, it must meet all six of the following elements: operation, installation (including on-site installation), maintenance (checking), repair, overhaul, and refurbishing. The only exception to this rule is for technology classified in the ‘600 Series’ which includes items and information that were previously controlled under the International Traffic in Arms Regulations (ITAR). For “use” to occur with this technology, only one of the six elements of use must occur. More information on "Use" Technology.

A “Foreign National” is any person who is NOT a:

  • U.S. Citizen or National
  • U.S. Lawful Permanent Resident (green card status)
  • Person Granted Asylum/Refugee Status

Do export control restrictions apply to a proposed visitor or prospective employee?

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

  1. Does the sponsored research have contracts or agreements for export compliance concerns, such as restrictions on participation of foreign nationals in research, or restrictions on publication of research results?
  2. Is the visitor or prospective employee a national of an embargoed country?
  3. Does the research project contain any technology 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 research project have a Technology Control Plan?

For the following conditions, export control restrictions may apply: Research funding contract restricts participation by foreign nationals, the visitor/employee is a national of an embargoed country, the project includes technology/data controlled under EAR/ITAR, the project has a Technology Control Plan