Export Controls Overview

The United States Government controls exports of sensitive equipment, software and technology as a means to promote our nation's security interests and foreign policy objectives. Through the export control system, the U.S government can effectively provide for national security by limiting access to the most sensitive U.S. technology and weapons; promote regional stability; considers human rights; prevents proliferation of weapons and technologies, including weapons of mass destruction, to end users and supporters of international terrorism; and comply with international commitments including the UN Security Council. These web pages have been designed to provide faculty, students and staff with access to resources to assist researchers and the University in keeping compliant with federal laws and guidelines.  


Export controls is a responsibility of the Office of Research Compliance and Integrity (ORCI) at Grand Valley State University. The ORCI has developed guidelines based on federal regulations and compliance. The Vice Provost of Research Administration serves as the University's Empowered Official. 

 

Please also see below for more information regarding:

 

If you have any questions regarding export controls please contact our office (049 James H. Zumberge Hall) at (616) 331-3197 or rci@gvsu.edu.


Export Control Policies for university employees

Export Control Policies and Explanations

Export controls present unique challenges to universities and colleges because they require balancing concerns about US economic vitality and national security with traditional concepts of academic freedom and dissemination of research results. University personnel need to be aware that export control laws and regulations may apply to their research and creative practice, whether sponsored or not.

 

The Grand Valley State University President's Cabinet has approved the Export Control Policy.


University Activities and Technology Control Plans

Federal laws govern how items, technology, and data may be exported from the United States or shared with foreign persons within the United States. Export control concerns can sometimes arise as part of research activities. It is therefore important that the Office of Research Compliance and Integrity is aware of the types of research projects in which GVSU faculty are engaged. 

There are certain red flags in research and university activities that might trigger additional export control concerns. To help us better understand the types of research activities occurring on campus, and therefore better help our researchers address any potential export control concerns, please complete this Export Control Questionnaire on an annual basis (and update it whenever research activities change) and submit it to rci@gvsu.edu.

If export controlled assets are identified in your research, it may be necessary to develop a Technology Control Plan (TCP). TCPs assist researchers in protecting and complying with government controls regarding their research projects for software, data or materials that are subject to U.S. export regulations. After filling out the Export Control Questionnaire, the Office of Research Compliance and Integrity will work with you to determine if your research requires a TCP. If one is required, please complete the following Technology Control Plan (PDF) form and send it to rci@gvsu.edu. ORCI will work with you to ensure completion of the form.


Contracts and Service Agreements

The federal export control laws cover a wide range of equipment, information, and data. It can sometimes be difficult to determine when such items are subject to the federal regulations and how they should be handled. Therefore, it is critical that contracts and agreements entered into on behalf of the University include export control clauses, so that the University can be notified in advance of receiving these items to ensure proper protections are in place.

 

Standard export control language has been developed for the following types of contracts/agreements:

  • Non-Disclosure Agreements
  • Material Transfer Agreements
  • Data Use Agreements
  • Testing Agreements
  • Research Collaboration Agreements
  • Service Agreements
  • Lease Agreements
  • Procurement Agreements

 

Please visit the Technology Control Office website for templates of these forms (except Lease Agreements and Procurement Agreements), which includes the appropriate export control language to use in the agreements. For export control language to use for Lease Agreements and Procurement Agreements, please contact the Office of Research Compliance and Integrity directly at rci@gvsu.edu.


International Travel & Shipping

When you travel or ship from the United States to another country, everything you take and/or send is termed an “export.” The U.S. federal Export Administration Regulations (EAR), International Traffic in Arms Regulations (ITAR), and the Office of Foreign Assets Control (OFAC) each have a list of embargoed/prohibited/sanctioned countries and prohibited parties that restrict imports and exports to certain destinations without a federal export control license.

 

  • Embargoes sanctions (Crimea - Region of Ukraine, Cuba, Iran, North Korea, Sudan, and Syria) prohibit ALL transactions (including imports and exports) without a license authorization.
  • Targeted sanctions prohibit certain exports of items, data and/or software without a license authorization.

 

If you are traveling on behalf of the University to any of the embargoed or sanctioned countries identified below, you are responsible for notifying the GVSU Office of Research Compliance and Integrity (ORCI) at least 30 days prior to departure. If you are taking or shipping anything on behalf of the University to any of the countries listed below, you must obtain pre-approval from the ORCI prior to the item leaving the U.S. The ORCI will determine if an export license is needed. Please contact our office at rci@gvsu.edu or 616-331-3197.

 

Note for most destinations and technologies, a license will likely not be needed. However, electronic devices (i.e., laptops, tablets, PDA, flash drives, and research items) and other technology items can be distinctively different and may require a license by EAR, depending upon the specific make/model of the equipment, your destination, etc. If a license is required, it can often take several months to obtain, so you are encouraged to contact our office as early as possible.

Embargoed/Sanctioned/Prohibited Countries

EAR (15 CFR 746; 15 CFR 744)

ITAR (22 CFR 126.1)

OFAC

Embargoed countries: Cuba, Iran, Syria

(a) Prohibited countries: Belarus, Cuba, Eritrea, Iran, North Korea, Syria, Venezuela

(c) U.N. Arms Embargoed countries: Burma, China, Cote d'Ivoire, Congo, Eritrea, Irag, Iran, Lebanon, Liberia, Libya, North Korea, Somalia, Sudan

Embargoes countries: Cuba, Iran

Targeted sanctions countries: Crimea - Region of Ukraine, Iraq, North Korea, Russian industry sector

(f) to (v) Special policy: Iraq, Afghanistan, Congo, Haiti, Libya, Vietnam, Somalia, Sri Lanka, Liberia, Cyprus, Zimbabwe, Lebanon, Central African Republic, Sudan

Targeted sanctions countries: Balkans, Belarus, Central African Republic, Congo, Iraq, Lebanon, Liberia, Libya, North Korea, Somalia, Sudan, Syria, Ukraine/Russia, Venezuela, Yemen, Zimbabwe

Military End-Use/End-User licensing requirements: China, Russia, Venezuela

   

Prohibited Parties: Denied Parties List, Entity List, Unverified List

Prohibited Parties: Debarred List, Munitions E.C. Order

Prohibited Parties: Specially Designated Nationals and Blocked Persons List (SDN)

Proliferation activities

Other Red Flags*

Proliferation activities

Other Red Flags*

Other Red Flags*

This table is current as of 3/26/19.

*Red flags: The U.S. export regulations prohibit proceeding with any transaction if the exporter detects something suspicious or indicates an illegal activity might occur. In such cases, the exporter is required to investigate and clear the red flags before proceeding. Please see this list of reg flags from the Bureau of Industry and Security for more information.


Restricted Parties

U.S. governmental agencies maintain lists of individuals and entities that are barred or restricted from entering into certain types of transactions with U.S. persons and entities. These lists include specially designated nationals, and individuals and businesses that have been debarred by the Department of State or restricted by the Department of Commerce because of previous violations of the regulations. The penalties for transferring or transacting with an individual or entity on these lists can be severe. GVSU policy states that University business cannot be conducted with any individual or entity on a prohibited party list published by the Departments of Commerce, State, or the Treasury. More information about these lists is available here.

 

The Office of Research Compliance and Integrity has a software system that can easily search if an individual or entity is on one of these lists. Please contact our office (rci@gvsu.edu; 616-331-3197) if you are seeking to engage in any of the following transactions on behalf of the University, and ORCI staff will conduct a screening on your behalf:

  • International collaborations/exchanges
  • International shipments
  • International visitors

Export Control Training

To learn more about Export Control, you can contact the Office of Research Compliance and Integrity (rci@gvsu.edu; 616-331-3197) and/or complete online training through CITI. Grand Valley State University supports CITI for training of faculty, staff, and students in an effort to develop research best practices and safe research procedures.



Page last modified June 13, 2019