The University is committed to complying with U.S. export controls. The University recognizes the importance of these laws and regulations, and expects compliance from all of its personnel. Violations can result not only in significant civil or criminal liabilities for the University and potentially the individuals involved, but also in damage to national security and to the University's standing as a premier institution of research and learning.
What is Export Control?
The U.S. government regulates the transfer of information, commodities, technology, and software considered to be strategically important to the U.S. in the interest of national security, economic and/or foreign policy concerns. There is a complicated network of federal agencies and inter-related regulations that govern exports collectively referred to as “Export Controls.” In brief, Export Controls regulate the shipment or transfer, by whatever means, of controlled items, software, technology, or services out of U.S. (termed an “Export”). Perhaps of even more consequence to the university, is that the government also restricts the release of certain information to foreign nationals here in the U.S. (referred to as a “Deemed Export”). Export Controls have the potential to severely limit the research opportunities of university faculty and their students and staff, as well as to prevent international collaboration in certain research areas. Non-compliance with export controls can result in severe monetary and criminal penalties against both an individual as well as the university, and can result in the loss of research contracts, governmental funding, and the ability to export items.
What do UAF personnel need to do?
In order to ensure compliance with export controls, it is critically important for university personnel to identify when their activities may trigger export controls. When export controls apply, individuals must take the appropriate steps to obtain any required governmental licenses, monitor and control access to restricted information, and safeguard all controlled materials.
In 2004, the Council on Government Relations (COGR) created the brochure “Export Controls and Universities: Information and Case Studies" (PDF). The brochure provides general information regarding export controls and their impact on academic research. Included in the brochure are a number of case studies that represent potential situations encountered by universities.
Assistance can be obtained by contacting the Office of Research Integrity at https://www.uaf.edu/ori/export-controls/
Process for the Review of Sponsored-Provided Documents
- Identifying Export Control Terms
- OGCA staff must review requests for proposals, draft agreements, awards, sponsor correspondence,
and related documents and communications for export control terms, which include—
- References to—
- the Export Administration Regulations,
- the International Traffic in Arms Regulations,
- the Foreign Assets Control Regulations, or
- S. export controls generally;
- Restrictions on the University's right to publish the results of research; and
- Nationality-based restrictions on who may participate in the research.
- References to—
- A Principal Investigator (PI) who notices export control terms at any stage in the
proposal or award process or during project performance must immediately inform the
OGCA, who will consult the Export Controls Officer. The designated OGCA staff and/or
Export Controls Officer will respond to the PI about any further actions that are
needed depending on the circumstances
- OGCA staff must review requests for proposals, draft agreements, awards, sponsor correspondence, and related documents and communications for export control terms, which include—
- Negotiating Export Control Terms
The designated OGCA staff and the Export Controls Officer, in consultation with the PI, will attempt to negotiate with the sponsor to remove or revise the export control terms, with the goal of preserving the University's ability to make use of the fundamental research exclusion from export controls. The designated OGCA staff and Export Controls Officer will coordinate with the Office of the General Counsel as appropriate.
- Accepting Export Control Terms
If the export control terms cannot be revised to remove restrictions on publication or participation by non-U.S. persons, and the PI wishes to proceed with the project, designated OGCA staff and Export Controls Officer will work with the PI on possible alternative language if applicable. The Export Controls Officer will work with the PI to develop a Technology Control Plan.