45.19 - U.S. Export Controls
September 15, 2011
Preamble: This document sets forth the policy governing University of Idaho activities in relation to U.S. export control laws and the federal regulations which implement those laws. [rev. 9-11]
A-1. General. The University is responsible for developing and administering reasonable and appropriate safeguards to ensure that export controlled items and research at the University are not compromised. Export control regulations, including the Export Administration Regulations (EAR) administered under the U.S. Department of Commerce, the International Traffic in Arms Regulations (ITAR) administered under the U.S. Department of State, and the sanction regulations governing the transfer of assets governed by the U.S. Department of Treasury through its Foreign Assets Control Regulations (FACR), can directly affect the activities of University researchers. The institution as well as individual faculty and staff can be subject to severe federal penalties for non-compliance, including substantial fines – civil and criminal, debarment, and/or incarceration.
U.S. export control laws limit not only the physical export of certain technologies, but also constrain “non-traditional” exports found at university campuses such as access to the controlled items as well as certain types of knowledge about controlled items and processes. These laws control access on a wide range of equipment, technical data, technical assistance, commodities, software, and computer code by foreign destinations or even by citizens of foreign countries regardless of location. The list of technologies extends beyond the obvious military items and can include seemingly innocuous items such as laptop computers. In certain unique cases, even transfer of public domain information can require a federal license. The list of restricted destinations also extends beyond the obvious countries, and may include transfer of knowledge to foreign individuals that are in the United States on legitimate visas. Certain technologies and commodities may not be freely shared with all foreign persons, whether graduate students, research assistants, post-doctorate scholars, non-U.S. employees, visitors, colleagues at meetings or symposia, contractors or partners in research projects. Likewise, any information concerning these technologies and commodities transmitted from the United States to a foreign destination or foreign person may be regulated regardless of whether it is transferred by mail, telephone, face-to-face conversations, university lab tours, email, facsimile, shipment, via hand-carried materials, over the internet or by any other means. Access to, or transfer of, controlled items may be prohibited, or they may require a federally approved export control license prior to such transfer to foreign destinations, or prior to access being granted to the foreign person(s).
A-2. Application. It is University policy to comply fully and completely with all U.S. export control laws and regulations, including those implemented by the U.S. Departments of Commerce, State, and Treasury as detailed above. The University Office of Sponsored Programs shall assist Principal Investigators (PIs) in ascertaining and understanding applicable requirements to comply with federal export controls. The Office of Sponsored Programs shall assist PIs in screening contracts and advise where further review may be required by the Export Control Analyst (see C below). Primary compliance responsibility in the conduct of research rests with the Principal Investigators (PIs) based on the guidance and assistance from the Export Control Analyst, the Office of Sponsored Programs, and as needed, the Office of General Counsel. PIs shall conform to any restrictions, license application requirements, and any associated time delays required by the Export Control Analyst, Office of Sponsored Programs, or Office of General Counsel. [rev. 9-11]
A-3. Designation of Empowered Official. The Vice President for Research and Economic Development shall serve as the Empowered Official required under 22 C.F.R. §120.25 of the ITAR. [rev. 9-11]
A-4. Designation of Export Control Oversight. The Office of Sponsored Programs within the University Research and Economic Development Office shall have primary oversight and responsibility for implementation of export control laws and regulations. The Export Control Analyst, with the Office of Sponsored Programs, shall provide assistance to University faculty, staff and administrative units on export control matters. Any faculty, staff or administrative unit with an export control question shall consult with the Export Control Analyst. [rev. 9-11]
B-1. Export Control Processes and Procedures. The Office of Sponsored Programs shall develop processes and procedures for compliance with the federal export control regulations. The Office of Sponsored Programs shall review this policy and the processes and procedures at least annually and recommend any necessary changes as appropriate to comply with changes in federal export control laws and/or their implementing regulations. The University Export Control Processes and Procedures, and any changes thereto, shall be reviewed and approved by both the Vice President for Research and Economic Development, and by the Office of the General Counsel, and shall be available from the Office of Sponsored Programs. [rev. 9-11]
C. Contact Information. For further information regarding Export Controls, contact the University’s Export Control Analyst, in the Office of Research Assurances, Morrill Hall 414, 111-111-0174, Export Controls Email. Webpage: Export Controls Webpage [rev. 9-11, ed. 1-19]