Section: Research
Policy Number: 6-17
Policy Name: Export Controls and Trade Sanctions
Date: August 5, 2008
Revisions: April 22, 2010

 

  1. PURPOSE

    To delineate the policy and guidelines governing the participation of faculty, staff and students in research falling under the Export Control and Trade Sanctions regulations.

  2. BACKGROUND

    Export Control and Trade Sanctions (EC&TS) are federal laws and regulations that govern the export of technologies, equipment, software, select hazardous agents, and related data and services. EC&TS extend to the release or sharing of restricted technology or data with foreign nationals inside or outside the U.S. In general, licenses are required for the export of items and technologies controlled under EC&TS. While the EC&TS include provisions where fundamental research at universities may be exempt from licensing requirements, the EC&TS apply to all research and export activities undertaken at the University of Delaware.

  3. POLICY

    The University of Delaware shall comply with Export Control and Trade Sanction (EC&TS) regulations governing applicable Sponsored Projects. The Provost serves as the final authority in any dispute resolution. The Associate Provost for Research and the University Export Compliance Officer have been designated as the Empowered Officials. The Empowered Officials will be responsible for EC&TS policies and procedures and will oversee the EC&TS compliance program including signing of Technology Control Plans (TCPs), license and disclosure requests, auditing of controlled Sponsored Projects and reporting of any EC&TS violations to the appropriate agencies. The Empowered Officials will develop appropriate procedures and will be responsible for implementing and maintaining EC&TS compliance procedures including TCP management, auditing and documentation.

    Implementation:

     

    1. The Principal Investigator (PI) has the primary responsibility for determining if the project is Export Controlled. The Empowered Officials will assist in this determination.
    2. The PI will work with the Empowered Officials to develop and implement appropriate TCPs for all projects falling under the EC&TS regulations. The TCP will be subject to audit by the University Export Compliance Officer and the Associate Provost for Research.
    3. The University Export Compliance Officer is responsible for verifying the eligibility of all staff working on controlled projects. The PI is responsible for providing the University Export Compliance Officer with the information required for this process and for making sure that all staff members with access to the controlled technologies and/or things have received adequate training on EC&TS.
    4. In the event that licenses are required, the PI will provide all required information for the licensing to the Empowered Official.
    5. The PI is responsible for the appropriate disposition of EC&TS controlled technologies in accordance with the technology control plan at the conclusion of the project and for reporting of this disposition to the Empowered Officials. The University Export Compliance Officer is responsible for verifying the disposition of the technologies.
    6. The University Export Compliance Officer is responsible for ensuring that all record keeping requirements for EC&TS controlled technologies are met.

      Link: Export Regulations

    Submitted by: Research Office