Reviewing Sponsor-Provided Documents, Outgoing Material Transfer Agreements, and External Sales for Possible Export Control Issues

I. Review of Sponsor-Provided Documents

A. Identifying Export Control Terms

1. Grant and Contract Officers (GCOs) in the Office of Sponsored Projects Administration (SPA) 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
     • 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.

   GCOs must bring such terms to the attention of the Export Controls and Research Security team (ECRS) without undue delay.

2. A Principal Investigator (PI) who notices export control terms at any stage in the proposal or award process or during project performance must promptly inform the appropriate GCO, who will consult ECRS. The GCO or ECRS will respond to the PI about any further actions that may be needed.

B. Negotiating Export Control Terms

The GCO and ECRS, in consultation with the PI, will attempt to negotiate with the sponsor to remove or revise the export control terms or restrictions, with the goals of (a) complying with Board of Regents Policy: Openness in Research, and (b) preserving the University's ability to conduct fundamental research for purposes of export controls and related federal rules. The GCO and ECRS will coordinate with the Office of the General Counsel as appropriate.

C. Accepting Export Control Terms

If the award 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, the PI must request an exception pursuant to Administrative Policy: Openness in Research. ECRS will work with the PI to develop a Technology Control Plan to optimize compliance with applicable export control and security requirements.

II. Review of Outgoing Material Transfer Agreements and External Sales

1. Outgoing Material Transfer Agreements

   On receipt of any Material Transfer Agreement (MTA) or Confidential Disclosure Agreement (CDA) request for which the receiving party is located outside the U.S., Technology Commercialization (Tech Comm) will send a copy of the request to ECRS.

2. External Sales

   Before finalizing the documentation (for example, the contract, agreement, or purchase order) for any external sale to a party outside the U.S. and Canada, the Internal/External Sales office will consult ECRS.

3. ECRS will determine whether the intended export requires a license from the U.S. Government by assessing:
   • the export jurisdiction and classification of the items to be exported;
   • the country to which the items will be exported;
   • whether the export in question involves a military, intelligence, or security end-use; and
   • whether the receiving end-user is on any federal restricted party list.
4. ECRS will document the licensing determination and advise Technology Commercialization or the Internal/External Sales office to proceed with the transaction if an export license is not required. If an export license is required, ECRS will discuss the process and options with the responsible University researcher, and apply for a license as appropriate.