Responsible University Officer(s):
- Vice President for Research
- Director - Research Compliance Office
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.
No University faculty, staff, or student may engage in any activity, or commit the University to engage in any activity, that violates U.S. export control laws and regulations. Specifically, personnel may not:
- export commodities, software, or technology subject to the Export Administration Regulations (EAR), except as authorized by the U.S. Department of Commerce;
- export hardware, technical data, or services subject to the International Traffic in Arms Regulations (ITAR), except as authorized by the U.S. Department of State;
- engage in transactions subject to the Foreign Assets Control Regulations, except as authorized by the U.S. Department of the Treasury; or
- violate any other U.S. export control law or regulation.
Faculty, staff, and students involved in research and academic projects that are subject to export controls must follow the requirements that are appropriate for the roles they serve. These individuals are responsible for reviewing the materials on the University's export controls website and consulting the Export Controls Officer when export controls apply.
REASON FOR POLICY
This policy codifies the University's commitment to compliance with U.S. export controls, identifies the corresponding responsibilities of University personnel, and establishes the administrative foundation for the University's export controls compliance program. These steps are required to ensure the University's compliance with U.S. export controls.
- Deemed Export
- The disclosure or transfer of export-controlled software, technology, or technical data to a non-U.S. person located in the U.S. (as distinct from an actual or physical export, in which items leave the U.S.).
- The shipment, transmission, or carriage of items out of the U.S.;
- The transfer or disclosure of export-controlled software, technology, or technical data to a non-U.S. person located in the U.S. (a deemed export); or
- The performance of a defense service subject to the ITAR on behalf of, or for the benefit of, a non-U.S. person.
- Export Administration Regulations (EAR)
- Export control regulations administered by the U.S. Department of Commerce, Bureau of Industry and Security. The EAR, which appear at 15 CFR Parts 730-774, prohibit the unauthorized export of—
- Commodities, software, and technologies identified on the Commerce Control List;
- Items to restricted parties on the Entity and Denied Persons Lists; and
- Items to be used for nuclear, missile and rocket, or chemical and biological weapons applications.
- Export Controls
- U.S. Government statutes and regulations that prohibit the unauthorized export of certain commodities, technologies, software, services, money, or information to non-U.S. destinations, persons, and entities (including universities). Export controls implement a range of national obligations and interests, such as honoring treaties (e.g., Treaty on the Non-Proliferation of Nuclear Weapons, conventions on chemical and biological weapons), protecting national security, and combating terrorism. Export controls concern primarily national security, not customs or tariffs. Violators can face lengthy prison sentences, stiff fines, and loss of export privileges. The University is subject primarily to three sets of export controls - the EAR, the ITAR, and the Foreign Assets Control Regulations.
- Export Controls Officer
- The official within the Research Compliance Office responsible for managing the University's export controls compliance program.
- Foreign Assets Control Regulations
- Economic sanctions regulations administered by the U.S. Department of the Treasury, Office of Foreign Assets Control. The Foreign Assets Control Regulations appear at 31 CFR Parts 500-598, and prohibit unauthorized transactions with embargoed countries and entities identified on the Specially Designated Nationals List.
- Foreign Person (or Non-U.S. Person)
- An individual who is not a U.S. citizen or permanent resident of the U.S., and who has not been granted political asylum or other protected status;
- A corporation, business association, partnership, trust, society, or any other entity or group that is not incorporated or organized to do business in the U.S.; or
- An international organization or foreign government (including agencies or subdivisions).
- Fundamental Research
- Basic and applied research in science and engineering where the resulting information is ordinarily published and shared broadly within the scientific community, as distinguished from research the results of which are restricted for proprietary reasons or specific U.S. Government access and dissemination controls. The information that results from or arises during fundamental research (aside from certain encryption source code) is excluded from export controls.
- International Travel
- Travel to any country or territory outside the continental U.S.;and other non-foreign U.S. overseas locations (Alaska, Hawaii, American Samoa, Guam, Midway Islands, Northern Mariana Islands, Puerto Rico, Virgin Islands (U.S.), and Wake Island). Travel to Canada and Mexico is considered international travel.
- International Traffic in Arms Regulations (ITAR),
- Export control regulations administered by the U.S. Department of State, Directorate of Defense Trade Controls. The ITAR, which appear at 22 CFR Parts 120-130, prohibit the unauthorized export or brokering of defense articles and defense services. Defense articles are the hardware, software, and technical data identified on the U.S. Munitions List. Defense services include technical assistance furnished to non-U.S. persons in connection with defense articles.
- Office of Sponsored Projects Administration (SPA)
- Unit responsible for administering sponsored funds and monitoring compliance with the terms of the grant or contract.
- Principal Investigator (PI)
- The primary individual in charge of a research, public service, or instruction grant, cooperative agreement, contract, or other sponsored project.
- Research Compliance Office (RCO)
- Unit responsible for overseeing the research enterprise's compliance with relevant regulatory and ethical standards. The Export Controls Officer resides within RCO.
- U.S. Person
- An individual who is a U.S. citizen or permanent resident of the U.S., or who has been granted political asylum or other protected status;
- A corporation, business association, partnership, trust, society, or any other entity or group that is incorporated or organized to do business in the U.S.; or
- A federal, state, or municipal governmental entity in the U.S.
- Controller's Office
- Has overall responsibility for Disbursements, Travel Services, External Sales, and Purchasing.
- Deans, Department Heads, and Chairs
- Responsible for taking offered training in export control regulations and for having knowledge of the information on the University's export controls website, as well as knowledge of the export controls relating to the area(s) of research that are under their purview.
- Departmental Grant Administrator
- Responsible for knowledge of policies and procedures related to export control regulations as may pertain to the administrator's area; consults Export Controls Officer and advises faculty as needed.
- Director, Research Compliance Office
- Oversees the University's export controls compliance program.
- Empowered Officials
- Are authorized to (a) sign export license applications or other requests for approval on behalf of the University, (b) inquire into any aspect of a proposed export-controlled export or temporary import by the University (c) verify the legality of any export-controlled transaction and the accuracy of information to be submitted, and (d) refuse to sign any export license application or other request for approval without prejudice or other adverse recourse. The two Empowered Officials are the Vice President for Research and the Export Controls Officer.
- Export Controls Officer
- Serves as central resource for investigators and grant administrators on issues related to export controls; assesses restrictions on international travel and research awards; works closely with the Office of the General Counsel regarding resolution of problematic terms and conditions in awards; oversees export control education requirements; obtains export licenses as required; serves as one of the University's two Empowered Officials.
- Global Programs and Strategy Alliance (GPS Alliance)
- As the central international office for the University system, works closely with campuses, colleges, units, faculty, staff, and students to support their international activities; maintains the International Travel Registry for faculty and staff; provides travelers with resources and advice related to University policy, insurance, health and safety, institutional relationships/supports abroad, etc.; encourages consultation with the Export Controls Officer.
- Internal/External Sales
- Assists the Export Controls Officer in reviewing proposed international sales for export control issues.
- International Student and Scholar Services
- As part of the GPS Alliance, provides visa, counseling, and advisory support to incoming international students and scholars.
- Office of the General Counsel (OGC)
- In conjunction with the Director, Research Compliance Office and the Export Controls Officer, provides advice to University researchers and administrators regarding the laws, regulations, and University policies related to export controls.
- Office for Technology Commercialization (OTC)
- Negotiates material transfer agreements when a principal investigator desires to transfer materials off-campus and licenses to University intellectual property; assists the Export Controls Officer in reviewing proposed transactions for export control issues.
- Principal Investigator (PI)
- Works with SPA and the Export Controls Officer to determine if the PI's research is in a field that might be subject to export controls; works with sponsors to design a scope of work for performance at the University that remains within the fundamental research rule; for research projects with potential export control issues, works with the Export Controls Officer, OGC, and sponsor to resolve these; if issues cannot be resolved and the PI believes a compelling reason exists for an exception from Administrative Policy: Openness in Research, prepares and submits a request for exception.
- Senate Research Committee
- Reviews recommendations from the Subcommittee on Research Openness on requests for exceptions from Administrative Policy: Openness in Research and forwards Committee recommendations on requests to the Vice President for Research for decision.
- Senate Research Committee Subcommittee on Research Openness
- Maintains and develops expertise on the national and University policies and the national funding environment that are relevant to the review of requests for accepting research grants and contracts that limit the public dissemination of the results of research, impose retroactive classification of research, or restrict participation in research (primarily for reasons related to export controls); consistent with administrative policy, reviews requests for exception from Administrative Policy: Openness in Research, and forwards recommendations to the Senate Research Committee; as requested, or on its own initiative, consults with the Chair of the Senate Research Committee and the Vice President for Research regarding changes in administrative policy and guidelines relating to review of requests.
- Sponsored Projects Administration Grant Administrator
- Identifies potential export control terms in requests for proposals and related documents—including proposed restrictions on publication of research results and proposed use of sponsor export-controlled technical information—and communicates these to the Export Controls Officer; takes all other reasonable steps to comply with export control regulations; keeps the PI informed about the status of negotiations.
- Sponsored Projects Administration Unfunded Research Agreements Staff
- Negotiates material transfer agreements and confidentiality agreements when a PI desires to receive materials or confidential information that others desire to transfer to campus; reviews proposed transactions for export control issues.
- Travel Services
- Supports compliance with export controls by referring international travelers to the GPS Alliance site for registration and by providing appropriate links in its policy.
- Vice President for Research (VPR)
- Provides educational opportunities for the University community; assists SPA and researchers in complying with export controls; makes the final decision whether to approve an award with export control restrictions per Administrative Policy: Openness in Research; serves as one of the University's two empowered officials.
Board of Regents Policies
- Openness in Research
- Purchasing Goods and Services,
- Reporting Suspected Misconduct
- Traveling on University Business
Other Related Information
- University of Minnesota Export Controls Website
- University of Minnesota International Travel Registry
- U.S. Department of Commerce, Bureau of Industry and Security
- U.S. Department of State, Directorate of Defense Trade Controls
- U.S. Department of the Treasury, Office of Foreign Assets Control
- February 2015 - Comprehensive Review. Minor Revision. Provides greater specificity to the types of export-related activities or commitments in which employees may not engage. Clarifies regulatory terms and concepts. Reflects changes in responsibilities, especially for Empowered Individuals, the SVP for Research, Global Programs and Strategy Alliance, and (International Student and Support Services).
- July 2012 -
- Codifies the processes and information that currently exists into an administrative policy and procedure.
- Specifies the University’s Empowered Official (per federal guidelines), and defines roles and responsibilities for the new position of Export Control Officer (ECO) and for units and individuals who interact with the ECO, and for units and individuals who are engaged in international travel or activities.
- Establishes the expectation of training for faculty, staff, and students who participate in activities subject to export controls.