Policies & Compliance

Other Conduct of Research Issues

11.3 Information and Procedures for Export Control Regulations/Restrictions

Federal export control regulations govern what scientific instruments, technologies, software and biological materials can be accessed and/or used by foreign nationals[1] studying, visiting, or working in the U.S., as well as what items (including biologics) can be transferred abroad to certain destinations based on the type of item, end use, end user and country destination. The Treasury Department’s OFAC regulations govern travel, academic, research, and business transactions with certain sanctioned countries and blocked parties.[2] Government agencies restrict engagement (including but not limited to export transactions) with certain individuals and entities identified in the Federal Register on various U.S. Government lists, so called “restricted parties or entities.”

As a U.S. institution of Higher Education performing significant research activities domestically and internationally, the University of Utah (“the University”) is committed to compliance with U.S. export regulations. As such, it is University policy (https://regulations.utah.edu/research/7-007.php) that all operations and personnel fully comply with applicable U.S. export control and trade sanction regulations.

Failure to abide by the regulations could result in civil and criminal penalties against the University at the institutional level, as well as against individual employees in the event that intentional violation is discovered. Consequences of noncompliance can include substantial fines and penalties, possible criminal prosecution, federal debarment, and denial of export privileges. Noncompliance can also severely damage the University’s reputational standing in the academic and research community, resulting in the loss of current or future state and federal funding, collaborative relationships, and enrollment.

All University personnel should read this export control compliance guidance in order to remain fully aware of how export compliance pertains to their respective responsibilities and should contact the Research Security Office (“RSO”) at michael.litchman@utah.edu with any questions.

[1] For export control purposes, foreign nationals are defined as those individuals who are not U.S. citizens, Permanent Residents (“Green Card” holders) or recipients of Political Asylum status. Hence, foreign nationals are individuals with temporary immigrant visa status including but not limited to H1-B, J-1, F, and B-visa beneficiaries.

[2] In addition to the Departments of State, Commerce and Treasury, other agencies also regulate exports, for example Nuclear Regulatory Commission, NASA, National Nuclear Security Administration (NNSA), and USDA.

11.3.1 Summary of How Export Compliance Requirements Affect the University's Research, Academic, and Business Operations

Export Control Compliance Overview

While the vast majority of the University’s research qualifies as “fundamental research” i.e., research to which the sponsor has not attached publication and/or citizenship restrictions, the University does conduct some federally funded export-restricted research, as well as industry sponsored, proprietary research and testing activities which can be export controlled.

In parallel with these activities, the University’s international collaborative network sometimes requires international transfer of instruments, software, materials and technologies; and, as a global institution, the University routinely hosts foreign national students, researchers, lecturers, and temporary visitors to the United States.

The University must comply, when/as required, with all export authorization requirements associated with transferring controlled items internationally; sharing export-controlled technology with foreign nationals in our research environments; avoiding engagement with U.S. Government restricted or prohibited parties; and complying with all U.S. Treasury Department economic sanctions with respect to embargoed countries and “blocked” parties. These compliance obligations impact numerous University activities including sponsored research; procurement; international travel; finance/accounts payable; international shipments and collaborations; hosting foreign national students and visitors; IP commercialization; international academic teaming agreements; Information Technology infrastructure and services; advancement; Environmental Health & Safety compliance; and distance (on-line) learning.

Given the relevance that export control compliance requirements have on so many University activities, the University has positioned its export oversight function in the newly-created Research Security Office (“RSO”). The RSO is responsible for training our University community on export compliance and ensuring that we remain aware of evolving federal requirements.

Foreign Influence Prevention and Research Security

In parallel with export compliance duties, the RSO plays a critical role in implementing the University’s foreign influence prevention and research security program. The term “foreign influence” concerns actions taken by international institutions to divert (from its intended purpose) U.S. taxpayer-funded research and resulting IP, including, for example, financial and logistical incentives to conduct U.S.-funded research abroad, IP penetration, visa fraud, undisclosed COI/COC relationships, and unauthorized access to computational resources.

In addition, NSPM-33 (National Security Presidential Memorandum 33) and the extensive implementing Guidance issued by the Congressional Subcommittee on Research Security, vastly increases the University’s sponsored research data management requirements with respect to standardization of disclosure requirements, cybersecurity, international collaborations, information sharing, and consequences for violations.

In this context, the RSO partners closely with various University units including the Office of Research Integrity (RIO), Office of Foreign Influence, Office of Sponsored Projects (“OSP”), Information Technology, Information Security Office (“ISO”), and the Office of General Counsel (“OGC”) to coordinate our institutional approach to foreign influence prevention and research security. More information about Utah’s Foreign Influence program can be found at https://foreigninfluence.utah.edu/.

11.3.2 United States Export Control Regulations

11.3.2.1 Introduction to Export Control Regulations

Export control laws are a complex set of federal regulations designed to protect United States (U.S.) national security; prevent the proliferation of weapons of mass destruction; further U.S. foreign policy, (including the support of international treaties, human rights, and regional stability); and maintain U.S. economic competitiveness.

Export control regulations govern how information, technologies, and commodities can be transmitted overseas to anyone (including U.S. citizens), and to foreign nationals (i.e. visa holders) in the United States. In addition to controlling exports to countries or individuals who are citizens of (or located in) those countries, export control regulations restrict exports to individuals, companies, and organizations that have been involved or facilitate end uses contrary to U.S. law and global security (e.g., chemical and biological militarization; nuclear proliferation; geopolitical destabilization; missile development; drug trafficking activities etc.) These regulations also prohibit transactions with those found to have violated U.S. export control and trade sanction regulations.

The three U.S. Government federal agencies which exercise primary jurisdiction over the control of exports are the Department of Commerce, Department of State, and Department of Treasury. The Department of State administers controls of defense exports through its Directorate of Defense Trade Controls (DDTC). The Department of Commerce’ Bureau of Industry Security (BIS) administers export of commercial, “dual-use,” items, civil by design but which could have a defense application. The Department of Treasury administers exports to embargoed countries and specially designated nationals through its Office of Foreign Asset Controls (OFAC).

11.3.2.2 Department of Commerce Regulations (EAR)

Regulatory Authority and Scope

The EAR controls the export of “dual-use” items, which are items that have civil uses but may also have military or other strategic applications. These items are classified on the Commerce Control List (CCL), under Export Control Classification Numbers (ECCNs).

Note Regarding Commercial Availability

The fact that the University may purchase an item or material commercially from a U.S. vendor does not mean that export control regulations do not apply when we intend to ship it outside the U.S. Such items may still require an export license to ship internationally. Items sourced from international vendors also become subject to U.S. export controls upon importation into the U.S. Hence, returning an item to an international vendor for repair requires an export license determination, even though it originated outside the U.S.

Important EAR Definitions and Concepts

Export is defined in 15 C.F.R. § 734.13 as an actual shipment or transmission of items subject to the EAR out of the United States as well as the release of technology or software subject to the EAR in a foreign country or to a foreign national either in the United States or abroad.

Deemed Export is defined in 15 C.F.R. § 734.13(a)(2) and 734.13(b). A deemed export is any release of technology or source code subject to the EAR to a foreign national, regardless of location. The release is deemed to be an export to the home country or countries of the foreign national. For purposes of the EAR, legal U.S. permanent residents, naturalized citizens, and individuals protected under the Immigration and Naturalization Act (8 U.S.C. § 1324b(a)(3)) are not considered to be foreign nationals.

Fundamental Research is research in science, engineering, or mathematics, the results of which ordinarily are published and shared broadly within the research community, and for which the researchers have not accepted restrictions for proprietary or national security reasons (15 C.F.R. § 734.8(c)) The complete definition and discussion of fundamental research, including university-based research, is found at 15 C.F.R. § 734.8. Publication approval requirements that are strictly limited to sponsor review and removal of sponsor-proprietary information do not nullify the Fundamental Research Exclusion (FRE).

Note that an FRE determination applies only to the dissemination of research data and information, and not to the transmission or transfer of material goods (physical commodities) or encryption items. Hence, a research project that is covered under the FRE could result in information which is published or publicly disseminated and therefore outside the scope of the export regulations AND result in a commodity (sample, prototype, material, device, etc.) that requires an export license were it transferred internationally.

Published is defined in 15 C.F.R. § 734.7. Information is published when it is accessible to the interested public in any form. Publications may take the form of periodicals, books, print, electronic, public web sites, or any other media available for general distribution. General distribution may be defined as available to an interested community, such as a technical journal available to scientists in a relevant field, so long as the price charged for the publication does not exceed the cost of reproduction and distribution. Articles submitted to journals for consideration for publication are considered to be published, regardless of whether or not they are accepted. Published information also includes information readily available in libraries (including university libraries), as well as patents and published patent applications. Finally, the release of information at a conference open to the participation of all technically qualified persons is considered to be the publication of that information. Software is considered published when it is available for general distribution, either free or at the cost of distribution. However, strong encryption software remains controlled, regardless of general availability.

The Commerce Control List

The CCL is found at 15 C.F.R. § 774, which may be accessed at: https://www.bis.gov/regulations/ear. Items included on the CCL are assigned an export control classification number (ECCN) based on a category and product group. There are 10 categories, numbered 0-9, and five product groups, labeled A-E, within each category. The category and product group generally describe the item being classified, and the remaining three digits of the ECCN relate to the item specifications. The categories and product groups are as follows:

	COMMERCE CONTROL LIST CATEGORIES
0	Nuclear and Miscellaneous Items
1	Materials, Chemicals, Microorganisms, and Toxins
2	Materials Processing
3	Electronics
4	Computers
5 (Part 1)	Telecommunications
5 (Part 2)	Information Security
6	Sensors and Lasers
7	Navigation and Avionics
8	Marine
9	Aerospace and Propulsion

	COMMERCE CONTROL LIST PRODUCT GROUPS
A	Systems, equipment and components (finished or unfinished goods)
B	Test, inspection and production equipment (manufacturing equipment)
C	Material
D	Software
E	Technology

Under the EAR, licensing requirements for export activities depend on what is being exported, the export destination, who will be using it, and what it will be used for. ECCN entries include a listing of the reasons for control that can be used in determining if an export license is necessary. While the most common controls are for anti-terrorism and national security, many other potential controls apply including biologic dissemination controls. The complete list of controls is found in 15 CFR § 742. The control list should be matched to the Commerce Country Chart to determine whether or not a license is required for a particular country destination and if an applicable license exception is available.

The Commerce Country Chart is also necessary to determine which citizenships among foreign national visa holders may also be controlled to access certain export controlled technologies (i.e. deemed export) in our research or IP dissemination environment.

License Exceptions

Under the EAR, license exceptions may be available for EAR controlled exports including, in some cases, temporary export of items used in research. It is important to understand that there are limitations on the use of license exceptions (see 15 C.F.R. § 740.2), and that the use of a license exception may have an associated recordkeeping and notification requirement. More than one license exception may be available for a proposed activity. In such cases, using an exception with the fewest restrictions on use and the fewest notification and recordkeeping requirements minimizes compliance burden. University personnel must consult with the RSO regarding the applicability of EAR license exceptions for proposed export activities.

Commodity Classification

BIS encourages exporters to use the detailed descriptions in the CCL to self-classify items to be exported. However, in the event of an incorrect classification, the exporter is liable for any resulting violations of the EAR and may be subject to resulting penalties. When unsure about a self-classification, the exporter may submit the item/technology to BIS for a formal classification. The RSO is available to assist with determining and confirming the classification of items.

Anti-Boycott Restrictions

The Anti-Boycott provisions of the EAR were designed and implemented to address foreign governments’ boycott of countries friendly to the United States.

The anti-boycott provisions are found in 15 C.F.R. §760. The provisions apply to any person or entity in the United States as well as to U.S. persons or entities abroad. The anti-boycott provisions specifically prohibit the following activities:

Agreement to refuse or actual refusal to do business with a boycotted country (for example, Israel) or with a blacklisted person (for example, an Israel-based entity)
Agreement to discriminate or actual discrimination against other persons based on race, religion, sex, national origin, or nationality (for example, agreeing to refuse to hire Israeli nationals)
Providing information about race, religion, sex, or national origin of another person
Furnishing information about business relationships with boycotted countries or blacklisted persons (for example, providing information about current or previous business in Israel)
Furnishing information about membership concerning associations with charitable and fraternal organizations
Paying or otherwise implementing letters of credit containing prohibited conditions or requirements.

Exceptions to these prohibitions are limited. Additionally, U.S. persons asked by a business partner to engage in the prohibited activities are required to report the request to BIS. If you encounter boycott language in a university transaction, please contact the RSO for assistance in determining whether an exception is applicable and if reporting to BIS is required.

11.3.2.3 Department of State Regulations (ITAR)

Regulatory Authority and Scope

The ITAR contains the United States Munitions List (USML), which includes defense articles, related technical data, and defense services that are controlled for export purposes. ITAR Section 120.31 contains the definition of a “defense article.” In general, defense articles are those specifically designed and/or modified for defense purposes without a commercial (civil) equivalent. That said, it is possible to create an article with defense capabilities that meets this definition, even if the article was not intended as such.

Unique to the ITAR is the concept of a “defense service” as a type of controlled export. Defense service is defined in ITAR Section 120.32. This pertains to the a) release of ITAR technical data to a foreign national regardless of location (see ITAR Section 120.56 for definition of “release.”); or b) the training, advising, instructing foreign military personnel, governments, agencies, representatives, etc. for military or defense objectives, regardless of whether the activity involves ITAR-controlled technical data.

In other words, even the use of public domain data to instruct, train or advise a foreign military function can constitute a defense service and require prior authorization from the Department of State’s Defense Directorate for Trade Controls (DDTC). An export, as defined under the ITAR, includes sending or taking a defense article out of the United States, disclosing (including oral or visual disclosure) technical data to a foreign person whether in the U.S. or abroad, or performing a defense service on behalf of a foreign person whether in the U.S. or abroad. Most exports of defense articles and defense services must be licensed by DDTC.

Commodity Jurisdiction

DDTC has the responsibility to determine if an item or technology falls within the scope of the ITAR or if the item/technology is under the jurisdiction of the Department of Commerce for the purposes of export controls. While it is possible to self-classify an item, DDTC should be consulted if there is any doubt as to whether an article or service is subject to the ITAR.

11.3.2.4 Department of Treasury Regulations (OFAC)

Regulatory Authority and Scope

The Office of Foreign Asset Controls (OFAC) administers and enforces economic and trade sanctions based on U.S. foreign policy and national security interests. Many of the sanctions are based on United Nations and other international mandates. Sanctions are country/program-specific and are subject to frequent change based on the changing geopolitical landscape. In addition to foreign countries and regimes, OFAC imposes sanctions on individuals, such as individuals that the U.S. government defines as terrorists and narcotics traffickers. The implementing regulations for the OFAC sanctions are found in 31 C.F.R. §§ 500-599, the Foreign Asset Control Regulations.

The OFAC sanctions broadly prohibit most transactions between a U.S. person and persons or entities in an embargoed country (such as Iran, Cuba, Syria, North Crimea and Crimean Region) or who have been declared specially designated nationals (SDNs). The prohibition generally includes importation and exportation of goods and services as well as related financial transactions or engaging in business activities with SDNs. Currently, countries subject to some degree of OFAC sanction include the Balkans, Belarus, Burundi, Central African Republic, Cuba, the Democratic Republic of Congo, Iran, Iraq, Lebanon, Libya, Nicaragua, North Korea, Somalia, Russia, Sudan, Syria, Ukraine, Venezuela, Yemen, and Zimbabwe. The OFAC sanctions program can change rapidly, so it is important to check for updates periodically.

OFAC Licensing for Country-Based Programs

It is important to review the specific sanctions program before conducting research or academic activities with an OFAC-sanctioned entity or person based in an OFAC-sanctioned country. The individual sanctions specifically describe what activities are exempt from the embargo (for instance, personal communications, exchange of informational materials, etc.) as well as what activities may be permitted under an applicable license.

Activities that are permitted under a General License (GL) do not require specific permission from OFAC prior to engaging in the activity; however, the conditions of a GL must be carefully reviewed, and the use of the general license documented. Activities that do not fall under an available general license may be eligible for a Specific License from OFAC. Specific license requests must be submitted and approved by OFAC prior to engaging in the sanctioned activity. Activities conducted under both general and specific licenses are subject to OFAC audit, and records must be maintained for five years after the conclusion of the activity. If you are unsure whether OFAC regulations might apply to your proposed transaction, contact the RSO prior to commencing the transaction.

11.3.2.5 Additional Considerations

Records/ Record Retention

Export control regulations stipulate record-keeping requirements for regulated export activities. Under these regulations, records must be retained for 5 years after the completion of the activity and made available to the regulating authority upon request. Records that should be retained include all export-related memoranda, notes, correspondence (including email), financial records, shipping documentation, as well as any other information related to the export activities.

Penalties for Export Violations

Violation of the export control laws can result in both civil and criminal penalties, including fines and imprisonment.

In assessing penalties, DDTC, BIS, and OFAC (as well as the U.S. Census Bureau) will consider mitigating factors. Mitigating factors include whether the disclosure of the violation was made voluntarily; whether the violation is an isolated incident or part of a pattern of continuing behavior; whether the company had a compliance program in place at the time of the violations; whether steps were taken to improve the compliance program after the discovery of the violation; and whether the violation was due to inadvertence, mistake of fact, or a good faith misinterpretation of the laws.

Reporting Export Violations

Violations or suspected violations of export control laws discovered at the University should be immediately reported to the Research Security Office, Office of General Counsel, or other senior leadership representative. If there is a question as to whether an activity could potentially violate the export control laws, it is important to immediately consult with the RSO, OGC, or senior leadership prior to engaging in the activity.

11.3.3 Export Control Procedures

The following section identifies key processes and procedures pertaining to the University’s Export Control program.

11.3.3.1 International shipments

During the course of its academic, research and business operations, the University has occasion to transfer internationally scientific instruments, materials, software, biologics and in certain cases, proprietary information.

Consult the RSO to determine whether shipments or transfers of proprietary information are subject to export licensing requirements. Classification (determination of whether a country destination control applies) shall occur with respect to all proposed international transfers. Once an item has been previously classified, it does not need to be re-evaluated assuming nothing about the item or surrounding fact pattern has changed.

In some cases, the University may need to obtain an End Use Certification from the recipient of exported items, which attests to the civil end use of the item for research or other purposes.

Potential international transfers of items to non-University entities shall be screened against the U.S. Government restricted party/entity lists. (Please refer to the Restricted Party Screening in Section 11.3.3.4 below.)

In some cases, the University will be required to file Electronic Export Information (EEI) in the Automated Export System (AES) maintained by the U.S. Census Bureau. Generally, third party freight forwarders will perform the actual filing on the University’s behalf. However, in all cases, the University is responsible for the content of these filings and must maintain its own records of EEI filings performed on its behalf or for its benefit.

11.3.3.2 Export licenses and shipment authorizations

Based on an item’s export control classification (ECCN) or USML Category and type of international transaction, the RSO shall apply for the appropriate export license and ensure that all license requirements are satisfied. Export licenses can take up to 60 days to obtain from BIS or DDTC and potentially longer if the proposed transaction trigger significant national security concerns. Once a license is approved, the University shall advise the consignee of its responsibilities as the end user under the license to ensure compliance with U.S. regulations, including potential re-export restrictions.

11.3.3.3 Deemed Exports as it Relates to Foreign Nationals at the University

When the University hires an employee under a University-sponsored temporary nonimmigrant visa status, the University must confirm whether the candidate would potentially require access to export-controlled information as part of their intended duties. For example, export controlled technical data may be present in the laboratory because of a sponsored restricted project; proprietary sponsor or third-party technology that is controlled and provided through a Non-Disclosure Agreement; or access to certain non-public cryptographic software.

In certain research-related environments such as High Performance Computing or laboratory machine and tooling shops, certain non-academic personnel who support infrastructure may also have exposure to export-controlled items and technology.

Utilization of ITAR items themselves may automatically trigger foreign national access restrictions, given the defense capabilities associated with the item.

In connection with filing a Form I-129 to support certain employment-based nonimmigrant petitions, the U.S. Government requires Certification Regarding the Release of Controlled Technology or Technical Data to Foreign Persons in the United States.

The OGC, together with the RSO, will work with the sponsoring University department to determine whether there is any potential export control exposure associated with the proposed visa candidate’s position and provide the basis for the I-129B Export Control Certification. This is accomplished through a Deemed Export Questionnaire and Attestation which the candidate’s host supervisor must complete in advance of the University filing the Form I-129 petition with USCIS.

While securing J-1 Exchange Visitor status does not involve filing a Form I-129 and related Certification, the same underlying export control issue is triggered, i.e. whether the foreign national candidate would have access to or exposure to export-controlled technology in the proposed research environment. Hence, for all incoming J-1 Exchange Visitors, a similar Deemed Export Questionnaire and Certification is utilized and must be completed prior to the University issuing the Form DS-2019 to the candidate.

11.3.3.4 Restricted Party Screening

Restricted Party Screening (RPS) is required to ensure that the University’s activities do not violate end user/diversion controls and OFAC sanctions based on the lists of prohibited parties (entities, persons, organizations) which U.S. Government agencies publish in the Federal Register on an ongoing basis. There are numerous lists that must be checked, found at the following link: https://www.bis.doc.gov/index.php/policy-guidance/lists-of-parties-of-concern.

The University licenses the Descartes Visual Compliance software tool to perform RPS. Individual and entities belonging to the following categories (at a minimum) should be screened:

International vendors and service providers (including scientific instrument purveyors and related support services)
International commercialization partners
International industry partners (sponsored research/other)
Visiting international delegations to science and engineering laboratories
Industry users of Core Lab/Recharge Centers
Consignees of international shipments
J-1 Exchange Visitors prior to the University issuing a DS-2019 and employees on University-sponsored nonimmigrant visas prior to filing a Form I-129 with USCIS
International donors
International institutions that are flagged during the course of COI/COC reviews
International institutions identified by faculty as sabbatical host institutions
Parties to international academic teaming and collaboration agreements (outside of OSP); international MOUs/MOAs
International Material Transfer Agreement partners (receiving/sending)
International instrument surplus disposition: recipient persons/entities
International entities located in foreign countries of concern that are part of proposed international travel itineraries.

RPS is coordinated by the RSO or by designated personnel trained to perform the screening function, including OGC, Office of Foreign Influence, and the Technology Licensing Office (“TLO”). In the event of a potential RPS match, the University shall determine whether there is an actual match and determine whether the proposed activity may go forward. In many cases, exports of any item Including EAR99 items to restricted parties or entities would constitute an enforceable export control violation.

11.3.3.5 Sponsored Agreement Reviews

Sponsored awards (industry, federal, University as prime or subcontractor) may incorporate non-standard clauses with export control and data security requirements. In these cases, the RSO shall coordinate with OSP the timely review and resolution of such requirements. In many cases, RSO facilitation involves the following types of support:

Pre-award briefing with the PI to evaluate export and/or data security requirements
Interpreting non-standard clauses from an export control and/or data security standpoint
Assistance toward informing contract negotiations to remove or modify requirements
Establishing Technology Control Plans and/or coordinating System Security Plans with IT prior to research commencing
Facilitating certain sponsor-required certifications pertaining to foreign national participation or foreign influence prevention
Informing laboratory management and data disposition during the course of a research program.

11.3.3.6 Biosafety Level 2 Laboratories

Biologics contained in BSL-2 biosafety containment laboratories may also be dual-use controlled under the EAR. While fundamental research utilizing such biologics (inclusive of their genetic elements or genetically modified materials) rarely triggers deemed export controls (absent sponsor-mandated restrictions), researchers and BSL-2 staff should remain aware that the international transfer of such items would likely trigger export license requirements, separate from hazardous shipping requirements. In this instance (including situations where the University researcher is aware that a domestic (U.S.) transfer of such items by the University will result in a subsequent known international export), researchers and/or laboratory staff shall consult with the RSO.

11.3.3.7 Training and Recordkeeping

The University strives to ensure that all employees involved in University research receive access to an appropriate level of export compliance training and shall maintain related records—such as training materials and attendance records—for at least 5 years.

Consistent with regulatory requirements, the University shall maintain export-related records for at least five years from the date of export transactions.

11.3.3.8 Communication with the RSO

There are many situations in which University personnel and student researchers should seek support from the RSO. These situations include (but are not limited to) the following:

A contract or other agreement references U.S. export control regulations (beyond a mere statement to comply with the law) and/or federal data security requirements
A contract or agreement restricts access or participation based on citizenship
A contract or agreement restricts foreign patent filing
A document where the University is requested as part of a research partnership or consortium to comply with another institution’s Technology Control Plan (TCP) or System Security Plan (SSP)
A research project that results (albeit with publishable technology) in the creation of an export controlled item
An activity that involves temporarily or permanently shipping or transferring export controlled items or involves shipment of non-controlled items requiring EEI filings
If the University plans to petition or support a visa application with potential exposure to export controlled items or technology
An activity that involves import of items or technology that will be re-exported back to the foreign source from which it originates
A research activity that involves the use of a potentially export controlled item such as a unmanned aerial vehicle or remotely operated vehicle that could be used outside the University’s physical perimeters
An activity that includes foreign sponsors, collaborators, subcontractors, etc.
At activity that involves international travel by University personnel or students, and there is a question concerning whether data stored on electronic devices is controlled or whether a hand-carried/baggage item may be export controlled.
An activity that involves the international transfer of IP which does not reside in the public domain through published patents
If the University plans to host an international visitor (or delegation) to its laboratory facilities
If the University plans to receive an export-controlled item from a domestic entity under an MTA or NDA
An activity or transaction that involves a restricted or watch-listed party or entity, or if there is uncertainty as to whether a party is restricted or watch-listed based on Visual Compliance screening results
A transaction that involves procurement of ITAR controlled items or acceptance of proprietary vendor information which may be export-controlled
If the University has received notification from a U.S. Government agency or sponsor of an export control or foreign influence/research security issue
A matter that involves a suspected or actual breach of export control regulations.

Please note that foregoing bullet-points only represent commonly encountered areas where the RSO would be involved. There may be many other types of transactions into which the RSO should have proactive visibility. Therefore, the University community is strongly encouraged to consult the RSO if any matter potentially raises the possibility that export control regulations or research security concerns could be triggered.

11.3.3.9 Detecting and Reporting Violations

Any employee who suspects that a violation has occurred shall immediately notify the RSO, OGC or a member of the University’s senior leadership team. The RSO, OGC or senior leadership will coordinate the next steps, which may include a Voluntary self-disclosure to the government as well as any remedial measures, as necessary.

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