9.21 / Compliance with Federal Export Regulations

Effective: October 15, 2005

  1. Purpose

    The purpose of this statement is to set forth University policy with regard to compliance with federal export regulations.

  2. Preamble

    The federal government has promulgated numerous regulations that directly affect University research conducted for federal and state agencies, industries and other clients. These regulations include the Export Administration Regulations (hereinafter "EAR") promulgated by the U.S. Department of Commerce and the International Traffic in Arms Regulations (hereinafter "ITAR") promulgated by the U.S. Department of State.

    These regulations are intended to provide for governmental control and supervision of research involving technological, biological, chemical and military-related research when tangible items are exported or a non-U.S. citizen participates in any segment of a research project. Export regulations apply to all research activities, regardless of funding source (including unfunded research) and apply to both commercial contracts and to awards made under grants and cooperative agreements.

    In the case of academic or research institutions, there is an exemption for fundamental research, results of which are or are about to be, in some cases, ordinarily are publicly available. Additional exemptions may be available and require review on a case-by-case basis. The regulations require in some circumstances that the University apply for a license with the appropriate government department or find and record an exception to the law which is allowed and/or develop processes that ensure compliance.

    Non-compliance penalties are severe and include monetary and criminal punishment. University compliance with export regulations is required by law and they apply whether or not the regulations are referenced in research awards. Consequently, the University may never get a warning when there is a possible export situation and a violation may result if corrective measures are not applied.

  3. Policy

    1. 萝莉社will implement a compliance system to seek to prevent export law violations in the areas of funded research and testing and to ensure that the University is in full compliance with federal export regulations in regard to research and testing conducted by faculty and staff.

    2. Proposals for research or testing must be reviewed for export regulation compliance by the Office of Research and Technology Transfer (RTT) prior to submission to potential sponsors. A routing sheet providing a check-off system to determine whether a proposal may be subject to export regulations will be used.

    3. RTT has the responsibility of reviewing any research proposal, grant or contract to determine whether a license is needed or an exception to the law exists (RTT may consult with the University's General Counsel). If it is determined that a license is needed, RTT will serve as the institutional office with the authority to secure a license on behalf of 萝莉社 University.

    4. RTT will inform faculty and staff researchers as to their respective responsibilities to comply with export regulations through educational programs and flow-down requirements to sub-recipients and collaborators.

    5. RTT will be responsible for conducting on-going educational programs to keep faculty and staff fully apprised of current export law and requirements.

  4. Implementation

    This policy shall be included in the 萝莉社 Policy and Procedures Manual and shared with appropriate constituencies of the University.

    The Vice President for Research and Technology Transfer shall have primary responsibility for publication, dissemination and implementation of this University policy.