1. International Shipping Training
Quinton Johnson
Director, Export Compliance Office
Office of Research and Innovation

2. U.S. Export Laws Purpose
Govern the transfer of Information, Items, and Technologies to foreign countries and foreign persons. And, implement and support U.S. foreign policy goals.
Export Regulations are designed to stop the proliferation of weapons of mass destruction, certain types of encryption software, military items, dual use items, or further U.S. economic sanctions
Public information -> Export Controlled information -> Classified information
official definition of Fundamental Research under the EAR is 15 CFR § The ITAR citation is 22
CFR §

3. Foreign Corrupt Practices Act
Elements of a Violation
The Actor is the University, University Employees, or any member of the University community conducting University business overseas
The individual being bribed is a “foreign official” which means any:
Officer or employee of a foreign government or of a public international organization or any department or agency thereof, or any person acting in an official capacity
or executives and other employees of state-owned or -controlled businesses or enterprises such as
the president of state-owned company
or, a professor at a state-run university
Types of bribes
Donations to a charity favored by the foreign official
Uncompensated use of University facilities or property
Favors such as hiring a family member or a certain vendor

4. Export Compliance Shipping Questions
What are your Harmonized System (HS) and Schedule B numbers for your item?
Export Compliance Classification Number (ECCN) or License Exception for item being shipped?
Electronic Export Information (EEI) filed by shipper or freight forwarder, or Automated Export System (AES) exemption used (and which one)?
Customs value properly derived and declared or reason for duty exemptions indicated
Proper Import Permits obtained from CDC, USDA – APHIS (Animal and Plant Health Inspection Service), etc….

5. International Shipping Compliance Notice
All international shipping occurring under a Material Transfer Agreement (MTA) or other central University process will be reviewed by VCU’s Export Compliance Office
If additional permits are needed beyond an export license then a customs broker must be consulted
Individuals choosing to ship items without review form VCU Export Compliance Office will be responsible for any shipping violations that occur

6. Contact Information
Quinton Johnson, Director, Export Compliance Office
(804)
VCU Webpages
official definition of Fundamental Research under the EAR is 15 CFR § The ITAR citation is 22
CFR §

7. Material Transfer Agreements
Kristin S. Berube
OSP Gray Team

8. What is an MTA?
a written contract that establishes legally binding terms & conditions under which materials (pieces of technology, biological agents, or other tangible goods) may be transferred between the University and an external entity for academic or research purposes

9. When do you need one?
The Sender of a material decides whether to execute an MTA. If VCU is the recipient: we generally defer to the sender. If VCU is the sender: we will probably want an MTA in place.

10. When do you need one? If the material you’re sending is:
- hazardous (chemically, biologically, or other)
- alive and/or genetically modified
- the subject of an invention disclosure
- of human origin
- owned by another entity
- on the Dual Use Research of Concern list
or - export-controlled …

11. When do you need one? … you need an MTA.
* List not comprehensive. Other scenarios may also require an MTA.

12. When do you need one?
Except when there is already another agreement in place (e.g., Clinical Trial Agreement, Subrecipient Agreement) that addresses the issues associated with the material transfer

13. How do you get one? Complete the MTA Request Form
VCU Sending:
VCU Receiving:
Submit it as a Document for Review to the Gray Team in RAMS-SPOT.
If VCU is the Recipient, and the Sender has provided a draft agreement, submit that, too.

14. Why do you need one?
Protects against certain types of liability Protects intellectual property rights Sets limitations on recipient’s use Protects publication rights Sets ownership rights & expectations up front

15. If you have any questions
Please ask! I would be happy to help. Call or (804)

16. Excerpts from the Universal Biological Material Transfer Agreement
1. The PROVIDER retains ownership of the MATERIAL, including any MATERIAL contained or incorporated in MODIFICATIONS. 2. The RECIPIENT retains ownership of: (a) MODIFICATIONS (except that, the PROVIDER retains ownership rights to the MATERIAL included therein), and (b) those substances created through the use of the MATERIAL or MODIFICATIONS, but which are not PROGENY, UNMODIFIED DERIVATIVES or MODIFICATIONS (i.e., do not contain the ORIGINAL MATERIAL, PROGENY, UNMODIFIED DERIVATIVES). If either 2 (a) or 2 (b) results from the collaborative efforts of the PROVIDER and the RECIPIENT, joint ownership may be negotiated.

17. Excerpts from the Universal Biological Material Transfer Agreement
3. The RECIPIENT and the RECIPIENT SCIENTIST agree that the MATERIAL: (a) is to be used solely for teaching and academic research purposes; (b) will not be used in human subjects, in clinical trials, or for diagnostic purposes involving human subjects without the written consent of the PROVIDER; (c) is to be used only at the RECIPIENT organization and only in the RECIPIENT SCIENTIST's laboratory under the direction of the RECIPIENT SCIENTIST or others working under his/her direct supervision; and (d) will not be transferred to anyone else within the RECIPIENT organization without the prior written consent of the PROVIDER.

18. Excerpts from the Universal Biological Material Transfer Agreement
6. The RECIPIENT acknowledges that the MATERIAL is or may be the subject of a patent application. Except as provided in this Agreement, no express or implied licenses or other rights are provided to the RECIPIENT under any patents, patent applications, trade secrets or other proprietary rights of the PROVIDER…. In particular, no express or implied licenses or other rights are provided to use the MATERIAL, MODIFICATIONS, or any related patents of the PROVIDER for COMMERCIAL PURPOSES.
7. If the RECIPIENT desires to use or license the MATERIAL or MODIFICATIONS for COMMERCIAL PURPOSES, the RECIPIENT agrees, in advance of such use, to negotiate in good faith with the PROVIDER to establish the terms of a commercial license. It is understood by the RECIPIENT that the PROVIDER shall have no obligation to grant such a license to the RECIPIENT, and may grant exclusive or non-exclusive commercial licenses to others, or sell or assign all or part of the rights in the MATERIAL to any third party(ies), subject to any pre-existing rights held by others and obligations to the Federal Government.

19. Excerpts from the Universal Biological Material Transfer Agreement
9. Any MATERIAL delivered pursuant to this Agreement is understood to be experimental in nature and may have hazardous properties. The PROVIDER MAKES NO REPRESENTATIONS AND EXTENDS NO WARRANTIES OF ANY KIND, EITHER EXPRESSED OR IMPLIED. THERE ARE NO EXPRESS OR IMPLIED WARRANTIES OF MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE, OR THAT THE USE OF THE MATERIAL WILL NOT INFRINGE ANY PATENT, COPYRIGHT, TRADEMARK, OR OTHER PROPRIETARY RIGHTS. 10. Except to the extent prohibited by law, the RECIPIENT assumes all liability for damages which may arise from its use, storage or disposal of the MATERIAL. The PROVIDER will not be liable to the RECIPIENT for any loss, claim or demand made by the RECIPIENT, or made against the RECIPIENT by any other party, due to or arising from the use of the MATERIAL by the RECIPIENT, except to the extent permitted by law when caused by the gross negligence or willful misconduct of the PROVIDER.

20. Excerpts from the Universal Biological Material Transfer Agreement
11. This agreement shall not be interpreted to prevent or delay publication of research findings resulting from the use of the MATERIAL or the MODIFICATIONS. The RECIPIENT SCIENTIST agrees to provide appropriate acknowledgement of the source of the MATERIAL in all publications. 12. The RECIPIENT agrees to use the MATERIAL in compliance with all applicable statutes and regulations, including Public Health Service and National Institutes of Health regulations and guidelines such as, for example, those relating to research involving the use of animals or recombinant DNA.