Export Compliance Reviews & Guidance

Export Compliance Program

The Export Compliance Program assists University Personnel with the identification and management of research projects subject to U.S. export control laws. The USU Office of Research is responsible for administering the Export Compliance program, with the Director of Research Integrity and Compliance serving as USU’s Export Compliance Officer (ECO), and the Vice President for Research designated as the USU’s Empowered Official (EO). A detailed overview of USU's Export Compliance Program, including individual and institutional roles and responsibilities can be found in the USU Export Compliance Program Manual.

Project Review

Determining whether export control regulations apply to your project isn’t always easy. The following considerations may assist that evaluation:

Proposal Stage

  • Is the sponsor international? Submission of deliverables to a foreign sponsor could be considered an export of U.S. technology.
  • Are you using an international subcontractor or consultant? Sharing of research materials with a collaborating institution could be considered an export of U.S. technology.
  • In the Request for Proposal, has the sponsor indicated export control regulations apply, foreign nationals may not participate in the project, or a publication restriction exists on results? These restrictions may indicate export control restrictions apply to the research outcomes.

Award Stage

  • Does the award documentation (grant, contract, agreement) include “non-standard language”? Terms and conditions mentioning foreign national participation restrictions, publication restrictions, or mentions of “export controls,” “technology control plans,” “controlled unclassified information,” “sensitive,” and “classified” likely indicate the research is subject to export control restrictions.
  • Does the project involve any interaction with an embargoed country? It is illegal to perform any service for an embargoed country or with certain individuals associated with such countries. An export license must be obtained from the appropriate federal agency in advance of work commencing on such a project.
  • Does the project involve any interaction with a sanctioned country? While not as heavily restricted as embargoed countries, interactions with heavily sanctioned countries could require an export license prior to commencing the collaboration.
  • Will there be international shipments or travel as part of the project? The transfer of certain technologies, whether by international shipment, or hand carrying an item abroad, require export compliance review prior to the shipment or travel. Please take a closer look at our International Shipments and International Travel pages.
  • Will you be hosting any international visitors? USU welcomes visitors to campus, but export control regulations may require we perform a screening prior to the visitor’s arrival to campus. Please take a closer look at our International Visitor Screening page.
  • Will you be employing or advising international graduate students, research associates or postdocs? USU strongly supports the involvement of international students, researchers, and postdocs in our research activities. However, certain projects may require that USU obtain an export license prior to admitting or involving these individuals in certain projects.

International Students, Scholars, and Employees

As part of the visa application process for international students, scholars, and employees, USU must attest to certain export control certifications. To ensure compliance with visa application requirements, Global Engagement and Human Resources coordinate with the Research Integrity & Compliance Office, who performs export compliance screenings prior to the submission of visa applications. The Research Integrity & Compliance Office will coordinate with the faculty member supporting the visa, as well as the department head, to obtain the necessary documentation to perform the export compliance screening.

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.

Training

Export compliance training may be required by a sponsor, as part of a technology control plan, or because of new Research Security requirements. USU provides export compliance training through CITI. Follow these steps to access the training:

  • Access the CITI website, and click the “Log In” button in the top right corner
  • Select the “Log In Through My Organization” option, and search for Utah State University, which will reroute you to the USU master login page
  • Enter your USU login information, which will then reroute you back to the CITI website
  • Scroll down to the “Learner Tools for Utah State University” section, and click “Add a Course”
  • Select the “Export Compliance (EC) course”, and click next. The course should now be available under your “Courses Ready to Begin” section
  • Once you complete the course, download your certificate of completion