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Export Compliance (EC)

EC provides an overview of export compliance regulations along with information specifically tailored for certain roles and responsibilities.







About this Course

Export Compliance (EC) includes an introduction to export compliance as well as information focused on export compliance as it relates to biosafety, operational departments, international shipping, purchasing, international and foreign waters, collaborations, and U.S. sanctions programs, distance education, and technology.

It is designed for use by investigators, members of the research team, key personnel across operational departments, and others who work with or may be responsible for federally controlled devices, materials, or technologies.

Disponibilidad del idioma: English

Audiencias sugeridas: Investigators, Operational Personnel, Research Team Members

Organizational Subscription Price: $300 per year/per site
Independent Learner Price: $110 per person

Course Content

Introduction to Export Compliance

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.

Uso recomendado: Required
ID (Idioma): 16800 (English)
Autor (es): Wendy M. Epley, MSc-RTC, ECoP® - EAR & ITAR - University of Arizona

Export Compliance for Researchers: Part I

Offers a review of how researchers can responsibly conduct export-controlled research activities, conveys accumulated best practices commonly accepted by the university export control community, and provides other useful information in complying with U.S. export control laws and regulations.

Uso recomendado: Supplemental
ID (Idioma): 16801 (English)
Autor (es): Michael Miller, MS - University of Central Florida; M. Kay Ellis, MHR - University of Arizona

Export Compliance for Researchers: Part II

Expands on the impact of the export control regulations on the researcher and research activities. It discusses the export control concerns associated with the input, conduct, and output of research activities; the responsibilities and best practices employed by researchers engaging in activities subject to export controls; and the security measures typically implemented by researchers to protect export-controlled research programs and activities.

Uso recomendado: Supplemental
ID (Idioma): 16802 (English)
Autor (es): Michael Miller, MS - University of Central Florida; M. Kay Ellis, MHR - University of Arizona

Export Compliance for Research Administrators

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.

Uso recomendado: Supplemental
ID (Idioma): 16803 (English)
Autor (es): Susan Gasparo, MPA - Stony Brook University

Export Compliance and Biosafety

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.

Uso recomendado: Supplemental
ID (Idioma): 16805 (English)
Autor (es): Constance Birden, ECoP® - University of North Carolina at Chapel Hill; Deborah Howard, MPH, CBSP - Bayer CropScience North America

Export Compliance for Operational Departments

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.

Uso recomendado: Supplemental
ID (Idioma): 16806 (English)
Autor (es): Susan Gasparo, MPA - Stony Brook University

Export Compliance for International Shipping

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.

Uso recomendado: Supplemental
ID (Idioma): 16807 (English)
Autor (es): Susan Gasparo, MPA - Stony Brook University

Export Compliance and Purchasing

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).

Uso recomendado: Supplemental
ID (Idioma): 16808 (English)
Autor (es): Wendy M. Epley, MSc-RTC, ECoP® - EAR & ITAR - University of Arizona

Export Compliance and International and Foreign Waters

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.

Uso recomendado: Supplemental
ID (Idioma): 16809 (English)
Autor (es): Wendy M. Epley, MSc-RTC, ECoP® - EAR & ITAR - University of Arizona

Export Compliance and Collaborations

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.

Uso recomendado: Supplemental
ID (Idioma): 16810 (English)
Autor (es): David Brady - Virginia Polytechnic Institute and State University

Export Compliance and United States Sanctions Programs

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.

Uso recomendado: Supplemental
ID (Idioma): 16812 (English)
Autor (es): Marci Copeland, MBA - University of California, Irvine

Export Compliance and Distance Education New Content

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.

Uso recomendado: Supplemental
ID (Idioma): 16811 (English)
Autor (es): Loretta Sabo, BS, ECoP® - EAR & ITAR - Wayne State University ; Darlene Pennington-Johnson, MA - Wayne State University

Export Compliance When Using Technology in Research New Content

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.

Uso recomendado: Supplemental
ID (Idioma): 16804 (English)
Autor (es): David Quimby - Export Control Compliance Consultant


Does my organization need this training if we do not work with anything export-controlled?

Export controls can affect some activities and operations within an organization that might not be immediately apparent. While your current activities may not involve export controls, circumstances can change. Having a basic understanding of how export controls can affect university transactions will help identify risks in advance and enable your organization and its constituents to maintain compliance at all times.

The only research conducted at our organization qualifies as fundamental. Is this type of research excluded from export controls?

Fundamental research is excluded from export controls. However, this exclusion only applies to the results of the research, which must be free from restrictions on publication or dissemination. Equipment, data, or software used in the research may be subject to controls.

In addition, since the direction of research can change during the course of the project, what started out as fundamental may develop into something that becomes controlled. Because these variables can evolve suddenly and unexpectedly, your institution can benefit from EC training by learning how to identify situations that will void the fundamental research exclusion.

Our organization has limited resources for monitoring export controls. How will this training help us?

This course is designed to provide training on export controls for various roles and operational departments. It is up to the organization to decide if this training is mandatory or elective. The organization may also outline retraining frequency and use reporting tools to see who has taken the training.

Does this course meet my sponsor’s training requirement?

CITI Program’s Export Compliance course raises general awareness of export control issues that can arise during the course of university business. Your organization’s export control office, research administration, and the program sponsor can decide together whether it fulfills the training requirements outlined in the agreement.