Export Compliance

What are export controls?

Export controls are U.S. laws and regulations that regulate and restrict the release of critical technologies, information, and services to foreign nationals, within and outside of the United States, and foreign countries. U.S. export controls exist to protect the national security and foreign policy interests of the United States.  Faculty, staff and students may intersect with federal regulations that impose access, dissemination or participation restrictions on the transfer of items and information regulated for reasons of national security, foreign policy, anti-terrorism or non-proliferation. GRS conducts reviews in areas such as:

  • international agreements including research agreements
  • international travel (students, faculty and staff)
  • international students (visa applications, federal requirements, etc.)
  • visitors (affiliates, visiting researchers or scholars, etc.)
  • international purchasing and shipping (customs regulations, international taxes, etc.)
  • research grants/contracts with security and export related requirements
  • numerous other areas of international collaboration or controlled technology access. 

Why do I need to know about export controls?

U.S. export controls exist to protect the national security and foreign policy interests of the United States. The U.S. maintains comprehensive controls and sanctions on the export and re-export of U.S.-origin goods and technology to all destinations around the world. GRS supports the University of Kansas commitment to comply with United States export control and sanctions laws. University and individual awareness of export control laws and requirements are critical in today's world. There are significant civil and criminal penalties for violations of these regulations both for individuals, and for entities.

What if my research is determined to be Export Controlled?

The Office of Global Risk & Security (GRS) supports the Universities commitment to complying with U.S. laws and regulations applicable to export and trade sanctions. GRS works with the Office of Research and other university departments to ensure compliance with regulations promulgated by the regulatory agencies, including but not limited to the Department of State, Department of Commerce, and the Department of the Treasury. 

If an export assessment determines that an activity is subject to these regulations, GRS will assist the affected party in setting up security measures and protocols needed to ensure compliance with export and sanction regulations through the establishment of a Technology Control Plan (TCP) or other certification document.

The Technology Control Plan details the export control classification, restriction on release of information, physical and information security protocols, project personnel requirements, annual certification, and closeout procedure. GRS will monitor project related activity throughout the life of the TCP, and be available to answer questions. The Principal Investigator or TCP Custodian will be required to provide GRS the disposition of all controlled items before closeout of the TCP.

Links

An export is any oral, written, electronic or visual disclosure, shipment, transfer or transmission of commodities, technology, information, technical data, assistance or software codes to:

  • Anyone outside of the U.S.
  • A “foreign national” wherever they are (deemed export)
  • A foreign embassy or affiliate

A Foreign National is any person who is NOT:

  • A U.S. citizen
  • Permanent resident alien (Green Card Holders)
  • Asylee
  • Refugee
  • Temporary resident under amnesty provisions

The following are considered foreign nationals or foreign persons:

  • Foreign corporation, business association, partnership entity or group not incorporated in the U.S.
  • Person in the U.S. in non-immigrant status (such as international students or F1 visas, visiting scholars or any person in the U.S. on a visa to include employees on J1 or H1B visas.)

A deemed export is the release of technology or information to a foreign national in the U.S., including students, post-docs, faculty, visiting scientists or training fellows.

Deemed exports are the most common exports for the university.

It depends on the equipment. Operation of a defense article by foreign nationals is prohibited, unless a license is obtained prior to operating.

Operation of EAR/CCL items equipment by a foreign national in the U.S. is not controlled by the export regulations. In the U.S., any person (including foreign nationals) may purchase export-controlled commodities and the "deemed" export rule only applies to technical information about the controlled commodity. As such, while the operation of equipment inside the U.S. is not controlled, the transfer of technical information relating to the use (i.e., operation, installation, maintenance, repair, overhaul and refurbishing) of equipment may be controlled in certain circumstances.

For example, if the manufacturer of the equipment provided the University some confidential, proprietary information about the design or manufacture of the equipment, then the University might need a "deemed" export license to provide such proprietary information to a foreign national, especially if shipment of the item to the home country of the foreign national would require an export license. In sum, the export regulations allow foreign students, researchers and visitors to operate (and receive information about how to operate) controlled equipment while conducting fundamental research on U.S. university campuses or while studying at the institution, as long as the technical information about the controlled equipment qualifies as "in the public domain" or "publicly available.”

Restricted Party Screening (RPS) is an essential component of the University of Kansas (KU) Export Compliance Program. The RPS checks persons or entities against various U.S. government lists of individuals, companies, and organizations, both foreign and domestic, where export regulations or sanctions block or restrict any export or prohibited transaction. Individuals on this list are “restricted parties”.

Regulators and enforcement authorities have made it clear that all organizations are obligated to conduct RPS on employees, contractors, vendors, business associates, and customers prior to any export or prohibited transaction.

KU has obligation to observe any red flags or indicators and potentially restrict or prohibit interacting with entities entirely.

A “red flag” is an anomaly or other indicator of a potential issue concerning U.S. laws or regulatory requirements. You may wish to visit Bureau of Industry and Security (BIS) page, "Know Your Customer Guidance."

They include the following:

  • The customer or its address is similar to one of the parties found on the Commerce Department's [BIS'] list of denied persons.
  • The customer or purchasing agent is reluctant to offer information about the end-use of the item.
  • The product's capabilities do not fit the buyer's line of business, such as an order for sophisticated computers for a small bakery.
  • The item ordered is incompatible with the technical level of the country to which it is being shipped, such as semiconductor manufacturing equipment being shipped to a country that has no electronics industry.
  • The customer is willing to pay cash for a very expensive item when the terms of sale would normally call for financing.
  • The customer has little or no business background.
  • The customer is unfamiliar with the product's performance characteristics but still wants the product.
  • Routine installation, training, or maintenance services are declined by the customer.
  • Delivery dates are vague, or deliveries are planned for out of the way destinations.
  • A freight forwarding firm is listed as the product's final destination.
  • The shipping route is abnormal for the product and destination.
  • Packaging is inconsistent with the stated method of shipment or destination.
  • When questioned, the buyer is evasive and especially unclear about whether the purchased product is for domestic use, for export, or for reexport.

Simply, a restricted party is an individual or entity (academic institutions, government, business, etc.) that the U.S. government prohibits or restricts transactions with. A prohibited transaction is broadly defined as “trade or financial transactions and other dealings in which U.S. persons may not engage.”  Because each program is based on different foreign policy and national security goals, prohibitions may vary between programs. A prohibited transaction may include the exchange of goods or services. It is KU policy to ensure compliance with the regulations and laws, therefore KU will not engage in exports or transactions with such entities or their representatives, employees, or agents.

We are here to help you make this determination. GRS is happy to perform a restricted party screening on your behalf. The lists are constantly evolving with additions and removals. Below are the most notable, but not a fully exhaustive list.

U.S. Treasury Department/OFAC: Specially Designated Nationals And Blocked Persons List (SDN)

BIS List: 15 CFR chapter VII Part 744

International Trade Administration: Consolidated Screening List (CSL)

Yes. International travel by employees or students is still subject to export control regulations. When traveling, be aware that taking information, technology, equipment or laptops out of the country because they may require an export license.

If you are traveling to a sanctioned or embargoed country to conduct university activities, or you are taking any of the following: encrypted software, export controlled items/information, unpublished research data or data not in the public domain – you must ensure you discuss your activities in advance of travel with the KU Export Compliance Officer or another GRS employee. Depending on the type of activity, it may be prohibited, or require licenses be obtained before being allowable.