Export Controls
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Export Control Compliance
It is the policy of Boston College to fully comply with all U.S. export control laws. U.S. export control laws potentially apply to a variety of Boston College activities conducted in support of the University鈥檚 academic mission, research portfolio, and administrative functions, including, but not limited to: international travel, gifts (University and individual), international shipments, interactions with restricted or sanctioned individuals and entities, financial transactions, international research and academic collaborations, dissemination of proprietary and/or industry technology, and the use of computer software with encryption features.
Violation of federal export control laws can potentially lead to severe criminal, civil, and administrative sanctions and penalties for Boston College and individuals. All AV研究所 faculty, staff, and students are therefore expected to determine when and how export control laws apply to their activities, and coordinate with the AV研究所 Office of Research Security, Integrity and Compliance to ensure compliance.
Please contact the Office of Research Security, Integrity and Compliance for assistance with any of the following Export Control issues:
- International Shipments听
- International Travel听
- 鈥淒eemed鈥� Exports
- Export Control Exclusions
- Procurement of Scientific Instruments or Equipment
- Technology Control Plans
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Contact
Office Email: exportcontrol@bc.edu
Leigh-Alistair Barzey
Director, Research Security, Integrity and Compliance
617-552-1144, leigh-alistair.barzey@bc.edu
Michael Curry
Assistant Director, Export Compliance
617-552-2068, michael.curry@bc.edu
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Statement of Commitment
Boston College recognizes the importance of complying with all U.S. export control regulations and is committed to full compliance with these regulations.
Export Control compliance is an essential obligation for everyone in our community, and following the few simple steps outlined below will help ensure that the College and you, individually, are complying as fully as possible with these regulations.
Do not hesitate to seek guidance on an export control matter.
If you become aware of a potential export control problem, report it immediately to our Export Control Coordinator. The vast majority of export control violations are inadvertent: timely reporting a suspected problem is the best mitigation of an inadvertent violation.
Resources
Deemed Export: The dissemination or transmission of export-controlled information or technology to a Foreign Person located in the U.S. The U.S. Government deems that release of export-controlled information or technology to be an export to the Foreign Person鈥檚 country of citizenship.
Export: An export is any 鈥渋tem鈥� that is sent from the U.S. to a foreign destination. For the purposes of export control, the term 鈥渋tem鈥� includes: commodities, software or technology, such as clothing, building materials, circuit boards, automotive parts, blueprints, intellectual property, design plans, retail software packages and technical information. The method of transport out of the U.S. does not matter to the U.S. Government and items can be exported by regular mail; hand-carried on an airplane; sent via facsimile; uploaded to or downloaded from an Internet site; distributed by email or text message; spoken via a telephonic or in-person conversation; or other means of dissemination.
Export Control Laws: A set of federal statutes and regulations that regulate the transfer of certain information, commodities, materials, technology, and software. The three primary sets of export control regulations are the Export Administration Regulations, the International Traffic in Arms Regulations, and the Office of Foreign Assets Control regulations.
- Export Administration Regulations (EAR): The EAR is overseen by the U.S. Department of Commerce鈥檚 Bureau of Industry Security (BIS). The BIS regulates commercial and 鈥渄ual-use鈥� (those with commercial and military applications) items.听
- International Traffic in Arms Regulations (ITAR): The ITAR is overseen by the U.S. Department of State鈥檚 Directorate of Defense Trade Controls (DDTC). The DDTC regulates military and space-related technologies.
- Office of Foreign Assets Control (OFAC) Regulations: The OFAC is part of the U.S. Department of the Treasury and regulates transactions with nations and entities subject to embargoes, boycotts, and trade sanctions.
Foreign Person: For the purposes of export control, a 鈥淔oreign Person鈥� is anyone who is not a U.S. Person. Under the EAR, the U.S. Commerce Department considers the individual鈥檚 most recent citizenship and their permanent residence. Under the ITAR, the U.S. State Department considers the individual鈥檚 country of origin/birth and all current citizenships.
Fundamental Research: As defined by the U.S. Government, 鈥淔undamental Research鈥� is 鈥渂asic and applied research in science and engineering, the results of which are ordinarily published and shared broadly within the scientific community, as distinguished from proprietary research and from industrial development, design, production, and product utilization, the results of which ordinarily are restricted for proprietary or national security reasons.鈥� Although the results of Fundamental Research are exempt from export control, the application of the exemption is limited and it can be nullified by publication or participation restrictions. Furthermore, the conduct of Fundamental Research can be export-controlled when the research uses equipment, technology or software that is subject to the EAR or ITAR.
U.S. Person: For the purposes of export control, a 鈥淯.S. Person鈥� is defined as a U.S. citizen, a U.S. entity, a U.S. permanent resident (Green Card Holder), or a person lawfully in the U.S. under certain protected refugee or asylum designations. A U.S. person may engage in export-controlled activities; however, some types of U.S. Government-restricted activities, such as classified research, might be limited to U.S. citizens.
International Travel and Engagement Compliance Handout
Please find the forms on our main VPR Forms page.
Export Policies
U.S. Government export authorities (Departments of Commerce, State, and Treasury) strictly enforce export control through substantial civil and criminal penalties and sanctions, federal debarment and revocation of export privileges. Agencies have investigative and audit authority (facilitated through the Federal Bureau of investigation) and can mandate costly oversight protocols. In addition, because of the national security implications to export control, liability for violations can be enforced against an individual College employee to whom an intentional violation is attributable, separate from our institutional liability.
No: Federal Export Control requirements affecting higher educational research, academic and business programs have been applicable in various iterations for more than 50 years.
1. Compliance Oversight
As designated by the University President, AV研究所鈥檚 export compliance program is administered through its Vice Provost for Research/Academic Planning as well as the Executive Director for Research Administration. A designated Export Compliance Coordinator, supported by AV研究所鈥檚 external export consultant, is responsible for facilitating export compliance across all export-sensitive research, academic and business activities.
Among other key requirements, the Coordinator is responsible for the following:
Determining whether international shipments require an export license or meet a license exemption
Determining whether access to (or use of) export sensitive technology by foreign national (visa holder) researchers constitutes a 鈥渄eemed鈥� export, by virtue of that person鈥檚 country of citizenship and controls associated with that country
Selectively screening AV研究所鈥檚 research, academic and business partners against the U.S. Government lists of restricted entities (as published it the Federal Register)
Responding to all faculty and staff inquiries concerning any export transaction
Facilitating our export training program, inclusive of all new AV研究所 employees
In the event of a suspected compliance violation, The Export Compliance Coordinator is authorized to suspend any transaction leading to (or causing) such suspected violation and will coordinate investigative and remedial efforts with the Office of General Counsel. The Coordinator is supported by Export Liaisons designated from campus operational functions and export-sensitive research departments and centers; our external consultant also provides export compliance guidance and procedural support.
2. Core operational/business functions
All key functions have been trained to implement their respective export compliance responsibilities, as follows:
Office of Sponsored Programs: identification and negotiation of restrictive (publication and citizenship) clauses in sponsored agreements; post contract/grant export compliance administration, including Technology Control Plans (TCPs) and export licenses; selectively screening research and contract partners against U.S. Government watch-lists
Human Resources: coordinating the required export control certification process associated with H-1 and O-1 visa petitions
International Students: facilitating the export control evaluation process associated with J-1 and F-1 scientific researchers; identifying export control issues associated with travel authorizations; selectively screening visa candidates against restricted party watch-lists
International Programs: facilitating the export evaluation of AV研究所鈥檚 international programs including Study Abroad
Procurement: proactively identifying export controlled items being purchased that may, in certain circumstances, trigger foreign national access and use restrictions; vendor screening
Property Management: tracking the location and relocation of export controlled items on campus
IT: developing data security protocols as required for export-sensitive projects, computing infrastructure, or in compliance with other federally-mandated contract provisions
Finance: ensuring that AV研究所 avoids payment transactions with U.S. Government-restricted parties and entities
OTTL: review of industry contracts and proprietary agreements for export control implications; review of NDAs and MTAs which potentially convey, respectively, export controlled data and items; implementing safeguards associated with export controlled invention disclosures and ensuring that commercial licensees are screened against the lists of U.S. Government-restricted parties and entities
3. Research/Academic Faculty and Staff
Here are six simple steps to follow in order to comply:
International Shipments: When shipping internationally, utilize AV研究所鈥檚 on-line International Shipping Request Form [link to International Shipping Form], so that an export license determination can promptly occur; where needed, an export license can be obtained.
Technology Sharing: When Procurement and/or the Export Compliance Coordinator identifies items used in fundamental research (e.g. instruments, software, raw materials, and vendor or sponsor-provided proprietary technical data) that may be export controlled (even if the research itself is not otherwise publication or citizenship-restricted), the Coordinator will work with you to establish the process by which export controlled technology pertaining to such items may be shared with foreign national members of our community (visa holders studying, working, researching or visiting) for whom such technology is controlled by virtue of their country of citizenship, i.e. 鈥渄eemed exports.鈥� In rare cases, this process may involve obtaining an export license or establishing a Technology Control Plan (TCP).
Visa Petitions: When hosting visa holders (J-1 visiting scholars, H-1 or O-1 employees, F-1 students assigned to research tasks) within export-sensitive science research environments, timely respond to the Export Control Evaluation Questionnaire issued by HR or International Students Personnel that enables us to determine whether there are deemed export issues associated with the foreign national鈥檚 research work.
Hosting International Visitors: When planning to host a visiting international delegation, contact the Export Compliance Coordinator well in advance of such visit, so that we can screen such delegation (typically the home institution) against the U.S. Government watch lists to avoid engagement with restricted parties.
International Travel: When international travel involves the temporary or permanent transfer of research tools or samples (either by advance cargo shipment or through hand-carried baggage), contact the Export Compliance Coordinator for assistance in advance of travel to help us determine whether export authorizations are required.
Engagement with Sanctioned Countries: When planning any engagement (whether research advisory or academic) with any person or entity located in one of the embargoed countries (Iran, Cuba, Syria, Venezuela), proactively contact the Export Compliance Coordinator who will assist you in complying with OFAC requirements.
There are many export and import specific restrictions for sanctioned and embargoed countries, as well as general restrictions for items and technology you may intend on traveling with and/or transferring during your trip. In addition, the Bureau of Industry and Security regularly updates 'denied and restricted parties' lists that prohibit transactions with certain individuals and entities. If you are traveling internationally for an activity in relation to your work at Boston College, you need to fill out the so that we can collectively mitigate associated risks and avoid non-compliance.
What is AV研究所 travel? AV研究所 travel means traveling on AV研究所 business, with AV研究所 or AV研究所-administered funding, or under the auspices of AV研究所:
- A AV研究所-paid faculty member is engaging in research, teaching, or other activities as a 鈥淎V研究所 faculty member鈥� (e.g., traveling to an international site to conduct fieldwork or presenting work at an academic conference听or at another school);
- and/or the travel or research is supported in any way by AV研究所 funds;
- and/or the travel is connected to a research grant听(AV研究所-funded or otherwise), or an IRB or IACUC protocol approved through AV研究所.听
Any trip that is personal, meaning not affiliated with AV研究所 research, teaching, or other activities, and is privately funded would mean faculty and staff do not need to fill out the International Travel form.
All faculty and staff are strongly encouraged to watch our five minute video on export compliance, as well as to read AV研究所鈥檚 export reference and training materials. This web page also contains links to all key process flows, forms and checklists.
Office of Export Controls