Working with International Collaborators

Often, research and collaboration extends beyond borders or nationalities. These collaborations can greatly benefit research progress, however, it is essential to comply with export controls when working with colleagues from other countries.

A foreign national is any person who is not a naturalized citizen of the United States. A deemed export is when a U.S. person provides export controlled materials or information to a foreign national within the United States. The most common example that occurs within the University setting is verbal disclosure in the lab or halls, or sharing equipment or other tangible items subject to U.S. Export Control Laws with fellow students who happen to be foreign nationals. If your proposal or award contains language restricting foreign nationals from the project or accepting restrictions on publications, please contact The Export Control Office at export@bu.edu.

While exports are commonly associated with the shipment of a tangible item across the U.S. border, export controls have a much broader application. One of the most difficult issues with respect to export controls is the fact that an export is defined to include the transfer of controlled information or services to foreign nationals even when the transfer takes place within the territory of the U.S.

Under the U.S. International Traffic in Arms Regulation (ITAR) and Export Administration Regulations (EAR) a transfer of controlled technology, source code, technical data, or defense services to a foreign national is deemed to be an export to the national’s country even if the transfer takes place within the U.S.

Defined differently, if an export license is required to export a controlled item, technology or software to a foreign national’s country, then an export license is required to release the technical data about the item or to transfer the technology required for development, production, or use of the item to the person or entity in the U.S. Technical assistance related to a development of a controlled item is also subject to this rule. The “Deemed Exports Rule” has been in place for decades and is most applicable in a university environment.

While a university may be involved in the shipment abroad of equipment or machinery to participate in a conference, a joint project, or equipment loan programs, most often faculty and students are engaged in teaching and research. Whenever teaching or research is related to controlled equipment or technology, the involvement of foreign students or researchers may trigger export control compliance issues.

The export may occur in several ways through:

• A demonstration
• Oral briefing
• Telephone call or message
• Laboratory or plant visit
• Presenting at conferences and meetings
• Faxes or letters
• Hand-carried documents, hardware, or drawings
• Design reviews
• The exchange of electronic communication
• Posting non-public data on the Internet or the Intranet
• Carrying a laptop with controlled technical information or software to an overseas destination
• Collaborating with other universities / research centers through research efforts

Items classified as EAR99 are subject to the Export Administration Regulations (EAR) but are not listed with a specific Export Control Classification Number (ECCN) on the Commodity Control List (CCL). EAR99 items are generally low-technology consumer goods that do not require a license, however there are some exceptions. An export license may be required if an item is being sent to an embargoed county or end-user of concern, or if it will be used in support of a prohibited end-use.

When working with EAR99 technology, an export license may also be required for any foreign nationals or institutions included on the “restricted persons lists” or when transferring the technology to embargoed destinations.

Restricted Party Screening

Before entering into a research collaboration a restricted party screening must be conducted. Various U.S. Government agencies maintain a number of lists of individuals or entities barred or otherwise restricted from entering into certain types of transactions with U.S. persons. Particularly since 9/11, U.S. companies are becoming more assertive in attempting to place contractual terms with foreign companies related to these lists.

Because the University has an extensive international collaborative program, it is important that the lists be screened prior to any export shipment or collaboration to ensure that the University does not engage in a transaction with a debarred entity or individual. Each employee engaging in international collaborations or shipping is responsible for having foreign collaborators screened. Records must be kept for at least five (5) years after the transaction

The Export Control office will screen your collaborator(s) for any denied party listings. You will be informed in advance of any collaboration with researchers or entities prior to entering into an agreement, or sending/receiving an MTA or Shipment.

Are you getting ready to work with a new collaborator? Please email export@bu.edu with the party’s name, institution and country.