Printed on: 11/20/2018. Please go to http://policy.umn.edu for the most current version of the Policy or related document.
Procedure

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

Administrative Procedure

I. REVIEW OF SPONSOR-PROVIDED DOCUMENTS

  1. Identifying Export Control Terms
    1. Grant Administrators (GAs) in the Office of Sponsored Projects Administration 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
        • U.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.
      GAs must bring such terms to the attention of the Export Controls Officer as soon as they are identified.
    2. 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 appropriate GA, who will consult the Export Controls Officer. The GA or Export Controls Officer will respond to the PI about any further actions that are needed.
  2. Negotiating Export Control Terms

    The GA and 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 goals of (a) complying with Administrative Policy: Openness in Research, and (b) preserving the University's ability to make use of the fundamental research exclusion from export controls. The GA and Export Controls Officer will coordinate with the Office of the General Counsel as appropriate.

  3. 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, the PI must request an exemption pursuant to Administrative Policy: Openness in Research. The Export Controls Officer will work with the PI to develop a Technology Control Plan.

II. REVIEW OF OUTGOING MATERIAL TRANSFER AGREEMENTS AND EXTERNAL SALES

  1. Outgoing Material Transfer Agreements

    Immediately on receipt of any Material Transfer Agreement (MTA) Request Form for which the receiving party is located outside the U.S., the Office for Technology Commercialization (OTC) will send a copy to the Export Controls Officer.

  2. External Sales

    Before finalizing the documentation (e.g., contract, agreement, or purchase order) for any external sale to a party outside the U.S. or Canada, the Internal/External Sales office will consult the Export Controls Officer.

  3. The Export Controls Officer 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; and
    • whether the receiving party is on the Specially Designated Nationals List, the Entity List, or the Denied Persons List.
  4. The Export Controls Officer will document the licensing determination and advise OTC or the Internal/External Sales office to proceed with the transaction if a license is not required. If a license is required, the Export Controls Officer will discuss the process and options with the responsible University researcher, and will coordinate with the Office of General Counsel as appropriate.

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