The US Government regularly publishes laws, regulations, executive orders, or directives that identify entities (individuals, companies, or universities) that are prohibited or restricted from engaging in activities in which the restricted party would receive technology, services, or funds from the U.S. entity. The form of the restricted exchanges of information is quite broad ranging from e-mail conversations to bringing a laptop with research data to a meeting with the restricted party. To prevent inadvertent violations of applicable restrictions, JMU scholars and staff with international research and engagement should either reach out to IRES to conduct the appropriate screening activities (see tab below) or make use of the search tools under the first two tabs to screen for restricted party or export restrictions related to their planned international research and engagement.

IRES provides JMU scholars and staff the opportunity to either request an IRES restricted party screening or make use of federal search tools to determine if a proposed research collaborator or partner institution is a restricted party.

Consolidated Screening List (CSL) portal for federal lists of denied parties:

CSL Search

The CSL is sometimes a few months behind in its consolidated updates while Treasury’s Office of Foreign Asset Control (OFAC), periodically updates their list of more than 17,000 denied parties. Therefore, the best practice is to separately search the OFAC sanctioned parties list.

OFAC search tool:

Sanctions List Search

Below is a list of entity categories that we recommend should be selectively screened, prior to formal engagement or executed agreement with such party:

• Industry research sponsors (domestic and international)
• Parties to inter-institutional MOU and MOA joint venture and affiliation agreements, including (but not limited to) scientific exchange programs, research collaboration, and academic exchange agreements
• Vendors and subcontractors (domestic and international)
• Recipients/consignees of international shipments
• J-1 Visa Visitor Exchange candidates as well as affiliated/home institutions (where known) of J-1 candidates (screening to occur early in the visa support process when the candidate is first identified)
• International donors of financial gifts
• Commercial licensees of patented technology as well as unpatented “know-how” license agreements (as applicable)
• International recipients of reimbursement payments, to the extent not covered through vendor screening
• Visiting delegations to the campus from international institutions (name of institution and individuals)

If you have questions or need assistance in determining who should be screened and/or when to perform screening, please contact IRES for assistance.

IRES provides JMU scholars and staff with the opportunity to either request export recipient screening or make use of the following links to tools for screening international entities who presence in the research’s production or export of controlled items may be restricted. When JMU staff or scholars are party to an export transaction, the screening determines whether an export license or other approval is required. The process starts by seeking answers to the following key questions.

Does the activity involve basic and applied research?

Both the Export Administration Regulations (EAR) on dual-use items and International Traffic in Arms Regulations (ITAR) provide for an exception based on the activity generating public-domain, fundamental research. As a result, university research is typically exempt from export control regulations, but not if activity is not basic or applied research. For example, post-applied product development or engineering services would not typically qualify as basic or applied research. In addition, research controlled by legal restrictions from the donor on disseminating the results or that require research security provisions (such as federal grant-supported research) typically do not qualify as public domain research.

Does the restricted entity screening reveal a restricted party or sanctioned country?

If a restricted party screening has determined that the proposed transaction involves a restricted entity or sanctioned country, a license request is required even if the item is not controlled. Sanctions or export controls can restrict entities from receiving commodities and technology beyond those defined as controlled or not public domain and fundamental research. Even basic research supplies or a researcher’s laptop could form a violation. As an example, when a university inadvertently exported tissue samples and other reagents to a restricted university’s teaching hospital in China, this was determined to be a violation by the Department of Commerce, even though the items were not controlled.

When uncertain, a researcher should work with IRES to determine whether the activity is restricted. The regulating agency also prefers that uncertain cases be raised with them, which IRES can facilitate. For example, when an Iranian national was part of the German lab that would procure the researcher’s test computers for the experiment built with controlled semiconductors, the Department of Commerce provided a written judgment that public domain and fundamental research exclusion permitted the activity to go ahead without an export license.

Will you receive, procure, or export highly controlled items?

While many projects involve the receipt of information, items, materials, equipment, and/or software, a researcher working on a fundamental research project must determine whether any items might be controlled. Researchers often receive licenses for even highly controlled items to be used in their international research, but even under these circumstances the access to controlled items may need to be implemented with strict controls.

Moreover, many dual-use items can be difficult to classify. As an example, a researcher was surprised to learn EAR controls inflatable rescue rafts that have dual-use purposes, and they cannot be exported to some countries. This can be especially difficult judgment to make for technological devices. When procuring high-technology components and devices for their work, it is often helpful to ask the vendor for the export classification of the item that might limit its export.

Do items in activity require an export license for transfer to a foreign person?

IRES can assist the researcher in classifying the research/technology as well as related equipment, materials, software, and/or technical data that will be produced. Items, materials, equipment, biologics, technical data, encryption, software, and source code (collectively “items”) may be controlled under export regulations. To determine whether items require an export license or transfer to a foreign person, the researcher must first determine the export jurisdiction and classification of the item.

Jurisdiction refers to the section of export regulations that govern that item. For example, ITAR applies to defense articles and services, while EAR applies to dual-use items.

Classification is the process of identifying which specific segment of the relevant regulations applies to the item.

EAR Classifications

EAR items are classified by receiving an export control classification number (ECCN) using the Commerce Control List (CCL) found in Supplement No. 1 to Part 774 of the EAR. The CCL groups items into 10 primary categories (0 – 9) with specific entries divided into separate parts of each category. The Department of Commerce provides the CCL Order of Review Decision Tool for this purpose. While the item may be explicitly listed on the CCL, classification may require treating the item as specially designed as reflected in the EAR Specially Designed Tool.

If the item is not identified on the CCL (such as a ream of paper or stapler), it is given a ECCN value of EAR99 or not subject to controls. The EAR states that “the majority of commercial products are designated as EAR99 and will not require a license to be exported or reexported.” Nevertheless, regulators do NOT provide a list of EAR99 items, the researcher must work based on determining whether or not if it fits one of the controlled classifications, though vendors often can provide the researcher with the classification for an item procured for the project.

If an item is identified on the CCL, it is given a five-digit ECCN that represents its location among the list’s categories and parts that then allows the researcher to determine which foreign nationals (categorized on the separate Commerce Country Chart) would require a Department of Commerce license to receive the item.

What steps to take if activity appears to be restricted?

Once the researcher, IRES, and/or RICO determines that the work or participating entity is restricted, the next step is for the researcher and RICO/IRES to assess the project to evaluate how export control regulations will affect the project, its participants, and the planned activities.

If the restriction is based on a foreign national participant in the controlled work, both ITAR and EAR have limitations on foreign national involvement without a license. IRES can assist in applying for an export license for that individual to remain engaged in the planned work.

The regulatory jurisdiction and classification of controlled items or information in the work also determines whether a Technology Control Plan (TCP) will be required. A TCP assures the regulator that the researcher has formalized the practices and procedures required to comply with the export and other research security requirements for the project.

Does the work fall under federal, EU, other data security requirement?

US, EU, and JMU’s Institutional Review Board (IRB) increasingly are requiring that research activities comply with information privacy and security standards. This can impact cross-border information sharing with foreign collaborators. For example, EU member donors often require researchers to demonstrate that the information systems on which they would host survey data from EU countries comply with the EU’s General Data Protection Regulation (GDPR) standards for the collection and processing of individuals located in EU countries.

JMU scholars and staff can request IRES to perform the restricted party screening and export recipient screening for international entities whose presence in the research’s production or export of controlled items may be restricted. University employees or units needing restricted party and/or export recipient screening should contact IRES by emailing IRES@jmu.edu or call by phone (540) 568-4449. In either case, you will need to email a list of all known parties (individuals, companies, and universities) that are party to the proposed agreement or activity along with their country of citizenship or business location, if known, to IRES@jmu.edu. Please note that if you are exporting a commodity you should also include all US citizen parties in the activity. Most screening is done in 1 or 2 business days.

International Research and Engagement Services
JMU Research Integrity and Compliance Office
Foundation Hall 1039
MSC 5738
1031 Harrison Street
Harrisonburg, VA 22807