export controls boston college office for research compliance 21 campanella way 550 chestnut hill,...

Export ControlsExport ControlsBoston CollegeBoston College

Office for Research ComplianceOffice for Research Compliance21 Campanella Way 55021 Campanella Way 550Chestnut Hill, MA 02467Chestnut Hill, MA 02467

Parts of this presentation are based on similar presentations developed by Susan W. Sedwick (University of Oklahoma and University of Texas at Austin) and Erica Kropp (University of Maryland).

Office for Research ComplianceOffice for Research Compliance

Export Export ControlsControls

What is an Export?What is an Export?Physical shipment of goods or items;Physical shipment of goods or items;

Electronic or digital transmission of Electronic or digital transmission of goods or items;goods or items;

Release of specific technical data to Release of specific technical data to any foreign national;any foreign national;

Access by a foreign national of any Access by a foreign national of any covered technology.covered technology.



What are Export ControlsWhat are Export Controls?

US laws and regulations that govern the distribution to foreign nationals and foreign countries of strategically important products, services and information for reasons of foreign policy and national security.



Purpose of the Regulations:Purpose of the Regulations:

Implement foreign policy goals and objectives;

Prevent terrorism;

Restrict exports of goods and technology that could contribute to U.S. adversaries’ military potential;

Restrict exports of goods and technology that could damage the vitality and critical interests of the U.S. economy;

Prevent proliferation of weapons of mass destruction (chemical, biological, nuclear).



Federal Agencies with Oversight of Export Federal Agencies with Oversight of Export Control Laws:Control Laws:

Department of State – International Traffic in Department of State – International Traffic in Arms –(ITAR) - technologies with inherently Arms –(ITAR) - technologies with inherently military properties;military properties;

Department of Commerce – Export Department of Commerce – Export Administration Regulations (EAR) – Administration Regulations (EAR) – technologies with “dual uses” but primarily technologies with “dual uses” but primarily commercial;commercial;

Department of the Treasury – Office of Foreign Department of the Treasury – Office of Foreign Asset Control (OFAC) – prohibits transactions Asset Control (OFAC) – prohibits transactions of value with certain countries and of value with certain countries and individuals.individuals.



Commerce Department

State Department

Treasury Department

Export Administration

Act

Arms Export Control Act

Trading with the Enemy Act, Int’l

Emergency Economic

Powers Act, & Others

Export Administration

Regulations (“EAR”)

15 C.F.R. Parts 700-799

International Traffic in Arms

Regulations (“ITAR”)

22 C.F.R. Parts 120-130

Iraq Sanctions Regulations,

Terrorism Sanctions

Regulations, & Others

31 C.F.R. Parts 500-599

Commerce Control List

U.S. Munitions List

List of Specially Designated Nationals &

Blocked Persons



International Traffic in Arms Regulations International Traffic in Arms Regulations (ITAR) – 22 CFR Parts 120 - 130):(ITAR) – 22 CFR Parts 120 - 130):

U.S. Munitions List (USML) contains the U.S. Munitions List (USML) contains the military items, the military items, the defense articles defense articles (including technical data which, unlike EAR, (including technical data which, unlike EAR, encompasses software) and services encompasses software) and services (furnishing technical services assistance, (furnishing technical services assistance, including design, engineering and use of including design, engineering and use of defense articles) which are controlled.defense articles) which are controlled.

Based primarily on whether an article or Based primarily on whether an article or service is deemed to be military in service is deemed to be military in character.character.



Export Administration Regulations (EAR)Export Administration Regulations (EAR)(15 CFR Parts 730-774):(15 CFR Parts 730-774):

The Commerce Control List (CCL) contains “dual use” The Commerce Control List (CCL) contains “dual use” commodities, (capable of both military or commercial commodities, (capable of both military or commercial use) technology, and software subject to the EAR; use) technology, and software subject to the EAR; identified by an Export Classification Control Number identified by an Export Classification Control Number (ECCN).(ECCN).

Licensing handled by Bureau of Industry and Security Licensing handled by Bureau of Industry and Security (BIS), formerly Bureau of Export Administration (BXA).(BIS), formerly Bureau of Export Administration (BXA).

The The inherent capabilitiesinherent capabilities and and designdesign, not the end use, , not the end use, determines whether the item falls under the ITAR or determines whether the item falls under the ITAR or the EAR.the EAR.



Department of Treasury, Office of Foreign Assets Department of Treasury, Office of Foreign Assets Control (OFAC): Control (OFAC):

Economic sanctions focus on end-user or Economic sanctions focus on end-user or country rather than the country rather than the technology and may limit technology and may limit transfer of technology/assistance to transfer of technology/assistance to OFAC’s list of OFAC’s list of sanctioned countriessanctioned countries

Prohibitions on trade with countries such as Iran Prohibitions on trade with countries such as Iran and Cubaand Cuba

Limitations on activities in certain areas of Limitations on activities in certain areas of countries or with countries or with certain non-state actorscertain non-state actors

OFAC prohibits payments or providing “value” to OFAC prohibits payments or providing “value” to nationals of nationals of sanctioned countries and to specified entities sanctioned countries and to specified entities even if the country is even if the country is not subject to sanctions (ex. not subject to sanctions (ex. Baathists in Iraq).Baathists in Iraq).



Differences Between ITAR and EAR:Differences Between ITAR and EAR:

ITAR:ITAR:

Covers military items (munitions/defense Covers military items (munitions/defense articles);articles);

Includes most space related technologies Includes most space related technologies due to due to application to missile technology;application to missile technology;

Includes technical data related to defense Includes technical data related to defense articles and articles and services (furnishing technical services (furnishing technical assistance including assistance including design, engineering and use design, engineering and use of defense articles);of defense articles);

Very strict, not much latitude, few Very strict, not much latitude, few exemptions.exemptions.



Differences Between ITAR and EAR:Differences Between ITAR and EAR:

EAR:EAR:Regulates “dual use” items = 10 CCL categories of Regulates “dual use” items = 10 CCL categories of

different different technologies (equipment [including test technologies (equipment [including test equipment], tests, equipment], tests, materials, software and technology);materials, software and technology);

Regulates items designed for commercial purposes Regulates items designed for commercial purposes but that can but that can have military applications (computers, have military applications (computers, pathogens, civilian aircraft, pathogens, civilian aircraft, etc.);etc.);

Covers goods, test equipment, materials and the Covers goods, test equipment, materials and the technology technology (technical data and technical assistance) and (technical data and technical assistance) and software;software;

Covers “re-export” of foreign commodities Covers “re-export” of foreign commodities incorporating U.S. incorporating U.S. origin controlled items outside the origin controlled items outside the U.S.;U.S.;

DOC easier to work with—more exemptions DOC easier to work with—more exemptions available.available.



Deemed Exports:Deemed Exports:

Export controls cover transfers of Export controls cover transfers of goods and goods and technology within the U.S. technology within the U.S. to a foreign national to a foreign national who is not a U.S. who is not a U.S. citizen or permanent resident citizen or permanent resident (“green (“green card” holder);card” holder);

Applies to technology transfers Applies to technology transfers under the EAR and ITAR’s technical under the EAR and ITAR’s technical data and defense services;data and defense services;



Deemed Exports:Deemed Exports:

Applies to research assistants, students, Applies to research assistants, students, visiting foreign visiting foreign researchers, U.S. citizens researchers, U.S. citizens visiting a foreign country;visiting a foreign country;

Does not apply to U.S. citizens or Does not apply to U.S. citizens or permanent residents permanent residents (“green card”);(“green card”);

Examples - visual inspection, e-mails, Examples - visual inspection, e-mails, oral exchanges oral exchanges of information.of information.



No effect on 90% of university No effect on 90% of university research since most is research since most is fundamental (i.e. basic) research.fundamental (i.e. basic) research.

But there are potential impacts ...But there are potential impacts ...


Export Export ControlsControlsThere are potential impacts on:There are potential impacts on:

Sharing of data, materials, and software;Sharing of data, materials, and software;Classroom lectures;Classroom lectures;Collaborations/discussions with Collaborations/discussions with

professional professional colleagues;colleagues;

Ability of foreign students to participate in Ability of foreign students to participate in research involving a controlled technology research involving a controlled technology (mostly under ITAR); (mostly under ITAR);

Ability to provide services (including training Ability to provide services (including training in the use of controlled equipment) to foreign in the use of controlled equipment) to foreign nationals (ITAR, EAR, OFAC);nationals (ITAR, EAR, OFAC);

Ability to send controlled equipment to Ability to send controlled equipment to foreign countries (ITAR, EAR, and OFAC).foreign countries (ITAR, EAR, and OFAC).



Dissemination of InformationDissemination of Information

Laws and regulations prohibit the disclosure Laws and regulations prohibit the disclosure without a license from Commerce or State of without a license from Commerce or State of controlled technical information by any method controlled technical information by any method to a foreign national in the U.S. or abroad.to a foreign national in the U.S. or abroad.

Methods of disclosure include: Methods of disclosure include: Fax Telephone discussions, e-mail communications, Fax Telephone discussions, e-mail communications, computer data disclosure, face-to-face discussion, computer data disclosure, face-to-face discussion, training sessions, tours which involve visual training sessions, tours which involve visual inspections....inspections....



License Requirement for Dissemination of License Requirement for Dissemination of Information Does Not Apply If One of 4 Information Does Not Apply If One of 4 exclusions applies:exclusions applies:

Public Domain Exclusion (ITAR, EAR)*Public Domain Exclusion (ITAR, EAR)*Education Exclusion (ITAR, EAR) Education Exclusion (ITAR, EAR) Fundamental Research Exclusion (ITAR, EAR)*Fundamental Research Exclusion (ITAR, EAR)*Employment Exclusion (ITAR only)Employment Exclusion (ITAR only)

*Under the ITAR, the Fundamental Research Exclusion *Under the ITAR, the Fundamental Research Exclusion is a subset of the Public Domain Exclusion.is a subset of the Public Domain Exclusion.



Public Domain Exclusion (ITAR, EAR):Public Domain Exclusion (ITAR, EAR):

Export controls do not apply to information and Export controls do not apply to information and research results research results already published and publicly available already published and publicly available from:from:

Libraries, bookstores, or newsstands;Libraries, bookstores, or newsstands;

Trade shows, meetings, seminars in the U.S. open to Trade shows, meetings, seminars in the U.S. open to the public;the public;

Published in certain patent applications;Published in certain patent applications;

Websites accessible to the public;Websites accessible to the public;

Courses listed in a university catalog of a general Courses listed in a university catalog of a general nature.nature.



Education Exclusion (ITAR, EAR):Education Exclusion (ITAR, EAR):

ITAR: No license is required to share with foreign ITAR: No license is required to share with foreign nationals “information concerning general scientific, nationals “information concerning general scientific, mathematical or engineering principles commonly taught mathematical or engineering principles commonly taught in universities or information in the public domain” .in universities or information in the public domain” .

EAR is similar but pertain to materials included in EAR is similar but pertain to materials included in courses found in the course catalogs of accredited courses found in the course catalogs of accredited institutions.institutions.

Students using controlled equipment to conduct research Students using controlled equipment to conduct research should be registered for a research credit classshould be registered for a research credit class



Fundamental Research Exclusion (ITAR, EAR):Fundamental Research Exclusion (ITAR, EAR):

No license is required to disclose to foreign nationals No license is required to disclose to foreign nationals

information which is “publishedinformation which is “published and and which is generally which is generally

accessible or available to the public [through, for example] accessible or available to the public [through, for example]

fundamental research in science and engineering at fundamental research in science and engineering at

universities where the resulting information is universities where the resulting information is ordinarily ordinarily

published and shared broadly in the scientific communitypublished and shared broadly in the scientific community.”.”

NOTE: ITAR states “published” rather than “ordinarily NOTE: ITAR states “published” rather than “ordinarily

published.”published.”

Source: NSDD 189Source: NSDD 189



Fundamental Research Exclusion (ITAR, EAR):Fundamental Research Exclusion (ITAR, EAR):

The FRE The FRE destroyeddestroyed if the University accepts any if the University accepts any contract/grant that:contract/grant that:

Forbids the participation of foreign nationals;Forbids the participation of foreign nationals;

Gives the sponsor a right to Gives the sponsor a right to approveapprove publications publications resulting from the research; orresulting from the research; or

Otherwise operates to forbid participation in research Otherwise operates to forbid participation in research and/or access to and disclosure of research resultsand/or access to and disclosure of research results

This includes “side deals” that may be made This includes “side deals” that may be made outside the terms of the award.outside the terms of the award.



Employment Exclusion (ITAR):Employment Exclusion (ITAR):

No license is required to share covered No license is required to share covered technical data with a foreign national who: technical data with a foreign national who:

Is not a national of a prohibited country; Is not a national of a prohibited country;

Is a full-time, bona fide UMCP employee;Is a full-time, bona fide UMCP employee;

Has a permanent address in the US while Has a permanent address in the US while employed;employed;

Agrees in writing not to share covered Agrees in writing not to share covered technical data with any foreign nationals.technical data with any foreign nationals.



Providing Services to Foreign Providing Services to Foreign Nationals/Entities:Nationals/Entities:

ITAR and EAR prohibit assisting and training foreign ITAR and EAR prohibit assisting and training foreign nationals anywhere in the design, development, use, nationals anywhere in the design, development, use, testing etc. of controlled equipment without a testing etc. of controlled equipment without a license from Commerce or State.license from Commerce or State.

Example: fermenters having a capacity of at least Example: fermenters having a capacity of at least 20 liters 20 liters



Providing Services to Foreign Providing Services to Foreign Nationals/Entities:Nationals/Entities:

There are no There are no clear clear exclusions or safe harbors from exclusions or safe harbors from the requirement to obtain a license for foreign the requirement to obtain a license for foreign nationals to “use” controlled equipment, however….nationals to “use” controlled equipment, however….

It is reasonable to maintain that the Education It is reasonable to maintain that the Education Exclusion applies if the student uses the equipment Exclusion applies if the student uses the equipment as part of a program of instruction.as part of a program of instruction.



Providing Services to Foreign Nationals/Entities: Providing Services to Foreign Nationals/Entities:

OFAC Restrictions:OFAC Restrictions:

OFAC prohibits the transfer of anything of value and the OFAC prohibits the transfer of anything of value and the provision of services to countries subject to US sanction provision of services to countries subject to US sanction programs, boycotts, etc. without a license.programs, boycotts, etc. without a license.

Sanctions are complicated and vary across countries.Sanctions are complicated and vary across countries.

Examples:Examples:Conducting surveys and interviews in boycotted Conducting surveys and interviews in boycotted

countries;countries;Providing marketing & business services to persons in Providing marketing & business services to persons in

boycotted countries.boycotted countries.



Providing Services to Foreign Nationals/Entities: Providing Services to Foreign Nationals/Entities:

OFAC RestrictionsOFAC Restrictions

Examples of Services:Examples of Services:Conducting surveys and interviews in boycotted Conducting surveys and interviews in boycotted

countries;countries;Providing marketing & business services to Providing marketing & business services to

persons in boycotted countries;persons in boycotted countries; Creating new information materials at the Creating new information materials at the behest of behest of persons in a boycotted persons in a boycotted country;country; Engaging the services of persons in a boycotted Engaging the services of persons in a boycotted country country to develop new information materials.to develop new information materials.



OFAC Restrictions:OFAC Restrictions:

Balkans, Belarus, Burma, CBalkans, Belarus, Burma, Coote d’Ivoire, Cuba, te d’Ivoire, Cuba, Iran, Liberia, North Korea, Sudan, Syria, and Iran, Liberia, North Korea, Sudan, Syria, and

Zimbabwe.Zimbabwe.

For full, up to date listing, see OFAC website: For full, up to date listing, see OFAC website: http://www.treas.gov/offices/enforcement/ofac/http://www.treas.gov/offices/enforcement/ofac/



Requirement of a license to ship controlled Requirement of a license to ship controlled equipment out of US:equipment out of US:

A license is required to ship equipment controlled A license is required to ship equipment controlled by by

ITAR to anyITAR to any foreign country;foreign country;There are few exclusions or exceptions;There are few exclusions or exceptions;It can take months to obtain a license from State; It can take months to obtain a license from State; Notify either the Office for Research Compliance or Notify either the Office for Research Compliance or

the the Office for Sponsored Programs as early as Office for Sponsored Programs as early as

possible.possible.



Requirement of a license to ship controlled Requirement of a license to ship controlled equipment out of US: (cont.)equipment out of US: (cont.)

A license may be required to ship equipment out of the A license may be required to ship equipment out of the USUS

under the EAR depending on whether the equipment is under the EAR depending on whether the equipment is controlled, where it is being sent and whether an controlled, where it is being sent and whether an exception applies.exception applies.

NOTE: A license may be required to ship software out of NOTE: A license may be required to ship software out of the US!the US!

The process to classify equipment under the EAR is very The process to classify equipment under the EAR is very tedious, tedious, detailed and time consuming. detailed and time consuming. Contact RCIPM Contact RCIPM early!early!



Requirement of a license to ship Requirement of a license to ship controlled equipment out of US: (cont.)controlled equipment out of US: (cont.)

There is a presumption under export controlThere is a presumption under export control laws and regulations that any and all laws and regulations that any and all shipments of equipment and provision of shipments of equipment and provision of services to countries subject to US services to countries subject to US sanctions/boycotts or persons in those sanctions/boycotts or persons in those countries are ILLEGAL.countries are ILLEGAL.



Laptop Exclusion:Laptop Exclusion:

Excluding embargoed countriesExcluding embargoed countries,, faculty who wish to take faculty who wish to take their laptops out of the country to use in a university their laptops out of the country to use in a university project that qualifies as fundamental research may be able project that qualifies as fundamental research may be able to do so under the license exception for temporary export to do so under the license exception for temporary export (TMP) if the laptop meets the requirement for "tools of (TMP) if the laptop meets the requirement for "tools of trade" and is under control of the faculty member (15 CFR trade" and is under control of the faculty member (15 CFR Part 740.9).Part 740.9).

BUT a review must be done to ensure that the software on BUT a review must be done to ensure that the software on the laptop is not controlled,the laptop is not controlled,

AND the laptop must remain within the person’s AND the laptop must remain within the person’s reasonable control – does not include, for instance, leaving reasonable control – does not include, for instance, leaving the laptop in a hotel room while going out to dinner.the laptop in a hotel room while going out to dinner.



Technology Control Plan:Technology Control Plan:

Required for licensing;Required for licensing;

Describes safeguards for protecting Describes safeguards for protecting controlled controlled technology;technology;

IT access;IT access;

Building access;Building access;

Data access.Data access.



Technology Control Plan:Technology Control Plan:

Commitment in the form in compliance Commitment in the form in compliance program;program;

Physical security plan – badging, access, Physical security plan – badging, access, visitor logs;visitor logs;

Information security plan – IT access, Information security plan – IT access, technical technical discussions, clean desk discussions, clean desk policy, data policy, data discard/return;discard/return;

Personnel screening – review of lists, Personnel screening – review of lists, background background checks;checks;

Training and awareness;Training and awareness;Self-assessment – corrective actions.Self-assessment – corrective actions.



Time Considerations:Time Considerations:Average processing timesAverage processing times

EAR: EAR: 45 days45 daysITAR: ITAR: 90 days90 daysOFAC: 60-90 days (but very often much OFAC: 60-90 days (but very often much

longer)longer)

Validity periodValidity periodEAR: EAR: 2 years2 yearsITAR:ITAR: 4 years4 yearsOFACOFAC 1 year1 year

Licenses include provisos and limitations.Licenses include provisos and limitations.



Post-Licensing Requirements:Post-Licensing Requirements:

Ongoing oversight;Ongoing oversight;

Self-assessment;Self-assessment;

Modifications;Modifications;

Recordkeeping (5 years);Recordkeeping (5 years);

Reporting requirements.Reporting requirements.



Administrative Penalties for Administrative Penalties for Noncompliance:Noncompliance:

Termination of export privileges (EAR and Termination of export privileges (EAR and ITAR);ITAR);

Suspension and/or debarment from Suspension and/or debarment from government contracting (EAR and ITAR);government contracting (EAR and ITAR);

Voluntary disclosure of violations serves as a Voluntary disclosure of violations serves as a “mitigating factor” in deciding penalties.“mitigating factor” in deciding penalties.



Penalties for EAR Penalties for EAR Violations/Noncompliance:Violations/Noncompliance:

Criminal (willful violations):Criminal (willful violations):

Up to $1 million for the University or company; Up to $1 million for the University or company;

Up to $250K per violation for Up to $250K per violation for individualsindividuals and/or up to 10 years in prison.and/or up to 10 years in prison.

Civil:Civil:

Up to $12k per violation for individuals and the Up to $12k per violation for individuals and the University/corporations.University/corporations.



Penalties for ITAR Violations/Noncompliance:Penalties for ITAR Violations/Noncompliance:

Criminal (willful violations):Criminal (willful violations):Up to $1 million for the University or Up to $1 million for the University or

companycompanyUp to $1 million per violation for Up to $1 million per violation for

individualsindividuals and/or up to 10 years in prison and/or up to 10 years in prison

Civil violations:Civil violations:Up to $500k per violation for Up to $500k per violation for individualsindividuals

and the University or companyand the University or company



Penalties for OFAC Penalties for OFAC Violations/Noncompliance:Violations/Noncompliance:

Criminal (willful) violations:Criminal (willful) violations:

Fine of no more than $1m for companiesFine of no more than $1m for companies

Fine of no more than $100k for individuals Fine of no more than $100k for individuals (including corporate officers) and/or 10 years (including corporate officers) and/or 10 years imprisonmentimprisonment

Civil penalties:Civil penalties:

Fine up to $55k for each violation by any person.Fine up to $55k for each violation by any person.



Red Flags:Red Flags:

Does the Project involve: Does the Project involve: Travel to s foreign country?Travel to s foreign country?

Use of proprietary/confidential information?Use of proprietary/confidential information?

Shipping equipment to a foreign country?Shipping equipment to a foreign country?

Collaborating with foreign colleagues in foreign Collaborating with foreign colleagues in foreign countries?countries?

Training foreign nationals in using equipment?Training foreign nationals in using equipment?

Working with a country subject to a US boycott?Working with a country subject to a US boycott?

Is the RFP marked “Export Controlled”?Is the RFP marked “Export Controlled”?

Is the sponsor demanding pre-approval rights over Is the sponsor demanding pre-approval rights over publications or the participation of foreign national publications or the participation of foreign national students ?students ?



University/PI ResponsibilitiesUniversity/PI Responsibilities

PI should review research program for PI should review research program for potential potential EAR/ITAR issues;EAR/ITAR issues;

Classify research - find ECCN (EAR) and/or Classify research - find ECCN (EAR) and/or check check Munitions List (ITAR);Munitions List (ITAR);

If you are planning to hire a foreign If you are planning to hire a foreign national, check the national, check the regulations to see if a regulations to see if a license may be required for your license may be required for your research;research;

At the contract stage, the Office for At the contract stage, the Office for Research Research Compliance or the Office for Sponsored Compliance or the Office for Sponsored Programs will Programs will check for restrictive clauses that check for restrictive clauses that would eliminate the would eliminate the Fundamental Research Fundamental Research Exemption. Exemption. cont.cont.



University/PI Responsibilities (cont.):University/PI Responsibilities (cont.):

Document exemptions;Document exemptions;

Records must be kept 5 years (license valid Records must be kept 5 years (license valid 2 years);2 years);

Discuss questions with the Office for Discuss questions with the Office for Research Research Compliance or the Office for Compliance or the Office for Sponsored Programs Sponsored Programs BEFORE project BEFORE project begins to see if licenses are needed--begins to see if licenses are needed-- process process can take 2-6 months or longer for EAR and can take 2-6 months or longer for EAR and ITAR licenses. OFAC licenses can easily take a ITAR licenses. OFAC licenses can easily take a year to year to obtain.obtain.



Questions to Ask Questions to Ask EarlyEarly in the Process in the Process

1. Has the subject of export controls, publication 1. Has the subject of export controls, publication restrictions, or restrictions on using foreign restrictions, or restrictions on using foreign nationals on the project arisen in any form nationals on the project arisen in any form (discussions, program announcement text, etc) in (discussions, program announcement text, etc) in connection with this proposal?connection with this proposal? 2. Will the project involve an agreement or 2. Will the project involve an agreement or collaboration with any foreign entity or foreign collaboration with any foreign entity or foreign national?national?

cont.cont.



Questions to Ask Questions to Ask EarlyEarly in the Process in the Process (cont.):(cont.):

3. Will the project involve the shipment of 3. Will the project involve the shipment of equipment, materials, or data outside the U.S.?equipment, materials, or data outside the U.S.?

4. Will the project involve the use of 4. Will the project involve the use of proprietary or confidential information or proprietary or confidential information or materials from the sponsor or any third party?materials from the sponsor or any third party?



Essential Elements of a Compliance Essential Elements of a Compliance Program:Program:

Top-level commitment statement;Top-level commitment statement;

Empowered Official responsible for Empowered Official responsible for compliance;compliance;

Expert legal counsel;Expert legal counsel;

Roles and responsibilities;Roles and responsibilities;

Procedures;Procedures;

Needs assessment;Needs assessment;

Training and awareness;Training and awareness;

Self-assessment;Self-assessment;

Audit.Audit. cont.cont.



Essential Elements of a Compliance Essential Elements of a Compliance Program (cont.):Program (cont.):

Centralize administration and oversight;Centralize administration and oversight;

Application of uniform policies and Application of uniform policies and procedures;procedures;

Perform controlled research in separate, Perform controlled research in separate, secure areas;secure areas;

Promote compliance through awareness;Promote compliance through awareness;

Focus on compliance;Focus on compliance;

Good recordkeeping and documentation of Good recordkeeping and documentation of decision-decision- making process;making process;

Encourage prompt disclosure.Encourage prompt disclosure.



Questions?Questions?

Stephen Erickson, DirectorStephen Erickson, DirectorOffice for Research Compliance and Intellectual Office for Research Compliance and Intellectual Property Property ManagementManagement21 Campanella Way 55021 Campanella Way 550Chestnut Hill, MA 02467Chestnut Hill, MA 02467

Telephone: 617-552-3345Telephone: 617-552-3345Fax: 617-552-6981Fax: [email protected]@bc.eduhttp://www.bc.edu/research/exportcontrols/http://www.bc.edu/research/exportcontrols/

export controls boston college office for research compliance 21 campanella way 550 chestnut hill,...

Documents

arms regulations itar

foreign countries

foreign nationals

iraq sanctions regulations

foreign national access

military items

reasons of foreign policy

foreign policy goals