Export Compliance (EC) Basic

Provides an overview of export controls, which are an ever-growing area of compliance for universities and research institutions across the United States and around the world. Export control laws and regulations affect a variety of activities, including many activities that take place physically within the U.S. An overview of the three primary U.S. regulatory agencies and their differences is also provided. It includes an in-depth discussion to help learners recognize when export controls may be applicable to various research activities.

Recommended Use: Required
ID (Language): 16800 (English)
Author(s): Wendy Epley, MSc (RTC), ECoP (EAR & ITAR) - Epley Consulting, LLC

Discusses how to comply with export controls when engaging in an activity that has been identified by the sponsor or in the research agreement as export controlled; involves the procurement of export-controlled software, technology, and technical data; involves controlled unclassified information (CUI); involves travel outside the United States; requires the shipping or transporting of tangible export-controlled items outside of the U.S.; or requires a technology control plan (TCP). The module also conveys accumulated best practices commonly accepted by the export control community and other useful information to comply with export controls.

Recommended Use: Supplemental
ID (Language): 16801 (English)
Author(s): Wendy Epley, MSc (RTC), ECoP (EAR & ITAR) - Epley Consulting, LLC

Provides an overview of export compliance concepts for research administrators. It discusses the difference between fundamental and proprietary research, as well as prohibited parties and embargoed/sanctioned countries. Included are concerns that may exist when working with individuals subject to export control regulations, basic concepts associated with foreign nationals partaking in research projects on campus, and why the project’s location is essential for compliance with export control regulations.

Recommended Use: Supplemental
ID (Language): 16803 (English)
Author(s): Susan Gasparo, MPA - Stony Brook University

Identifies export-controlled biological material, technology, technical data, and equipment. It discusses export control implications of life science research involving biological material and biomedical applications, differentiations between export control regulations, and how dual use research of concern interconnects with the regulations.

Recommended Use: Supplemental
ID (Language): 16805 (English)
Author(s): Constance Birden, LCB - University of North Carolina at Chapel Hill; Deborah Howard, MPH, CBSP - Bayer CropScience North America

Explores the key concepts and export compliance risks for employees of operational departments. It discusses the different types of organizational activities, common export compliance risks on campus, and export compliance checkpoints and risks to operational departments.

Recommended Use: Supplemental
ID (Language): 16806 (English)
Author(s): Susan Gasparo, MPA - Stony Brook University

Provides an overview of concepts for international shipping of export-controlled items from the United States to international locations. Basic terms used in international shipping are defined as well as an overview of the concepts of “know your customer” and “be familiar with your customer,” the U.S. Department of Treasury’s role in international shipping, steps an organization should take prior to exporting, and different shipping solutions.

Recommended Use: Supplemental
ID (Language): 16807 (English)
Author(s): Susan Gasparo, MPA - Stony Brook University

Presents issues ranging from vetting the vendor (vendorization) to procurement and identifying risks that are associated with various activities taking place, typically, within the purchasing/finance department. It also discusses classification numbers, Office of Foreign Assets Control (OFAC) regulations, and restricted party screening (RPS).

Recommended Use: Supplemental
ID (Language): 16808 (English)
Author(s): Wendy Epley, MSc (RTC), ECoP (EAR & ITAR) - Epley Consulting, LLC

Provides a basic understanding of U.S. export control laws and regulations as they affect research conducted outside of U.S. territorial waters. It identifies when items controlled under the export control regulations are considered exported from the U.S., when an item may require an export license, issues that may affect research being conducted in foreign waters, and when license exceptions may be applicable.

Recommended Use: Supplemental
ID (Language): 16809 (English)
Author(s): Wendy Epley, MSc (RTC), ECoP (EAR & ITAR) - Epley Consulting, LLC

Provides an understanding of collaborations, which are a significant element of many research enterprises. It offers an overview of the types of collaborations in which institutions of higher education involve themselves today, and how they can intersect with export and sanctions regulations. Additionally, it discusses topics such as traditional types of collaborations, regulatory safe havens, challenges presented by the global market, and types of risk mitigation for at-risk international collaborations.

Recommended Use: Supplemental
ID (Language): 16810 (English)
Author(s): David Brady - Virginia Polytechnic Institute and State University

Focuses on university activities that are subject to U.S. sanctions programs. It also identifies university activities that may require a general or specific license under Office of Foreign Assets Control (OFAC) sanctions, the scope of some of the general licenses and exemptions available under U.S. sanctions programs, and available OFAC resources and how to apply for a license.

Recommended Use: Supplemental
ID (Language): 16812 (English)
Author(s): Marci Copeland, MBA - University of California, Irvine

Provides an overview of how export controls affect distance education. It discusses when export controls affect distance education and learning, and how distance education is restricted by geographic location.

Recommended Use: Supplemental
ID (Language): 16811 (English)
Author(s): Loretta Sabo, BS, ECoP® - EAR & ITAR - Wayne State University; Darlene Pennington-Johnson, MA - Wayne State University

Provides an overview of how export controls may affect technology used in research. It discusses the specific technology that may be restricted, classifications and exclusions, and appropriate methods for complying with the restrictions.

Recommended Use: Supplemental
ID (Language): 16804 (English)
Author(s): David Quimby - Export Control Compliance Consultant