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Research, Sponsored Program, Technology Transfer and Intellectual Property

Export Controls and Trade Sanctions

Section: Research, Sponsored Program, Technology Transfer and Intellectual Property Policies
Policy Name: Export Controls and Trade Sanctions
Policy Owner: Provost
Responsible University Office: Vice Provost for Research
Origination Date: August 5, 2008
Revisions: April 22, 2010; May 8, 2015
Legacy Policy Number:  6-17
  1. SCOPE OF POLICYThis policy addresses the requirements to ensure compliance with U.S. Export Control and Trade Sanctions (“EC&TS”) regulations governing research at the University of Delaware (“UD” or “University”) and applies to all University departments, units, faculty, staff and students.
  2. DEFINITIONS
    1. EC&TS are federal regulations that govern the export of technologies, equipment, software, select hazardous agents, and related data and services to foreign countries. EC&TS extend to the release or sharing of restricted items, technologies or data/information with foreign nationals (i.e., deemed export) inside or outside the U.S.
    2. “Fundamental Research”, as defined by the U.S. Commerce Department, Bureau of Industry and Security, is basic and applied research in science and engineering, where the resulting information is ordinarily published and shared broadly within the scientific community. The techniques used during the research are normally publically available or are part of the published information.
    3. “Sponsored Projects” are defined as externally-funded activities in which a formal written agreement, i.e., a grant, contract, or cooperative agreement, is entered into by the University and by the sponsor. A sponsored project may be thought of as a transaction in which there is a specified statement of work with a related, reciprocal transfer of something of value.
    4. The University’s Empowered Official (“EO”) is a representative of the University’s senior administration and is responsible for ensuring EC&TS regulatory compliance and alignment with the University’s mission.
  3. POLICY STATEMENT
    1. The University shall comply with EC&TS regulations governing applicable Sponsored Projects, as provided in the University of Delaware Export Compliance Program Manual. By delegation from the Provost, the Deputy Provost for Research & Scholarship serves as the final authority in any dispute resolution, and designates the Associate Deputy Provost for Research & Regulatory Affairs the EO.
      1. The EO is responsible for EC&TS policies and procedures and will oversee the EC&TS compliance program including the signing of Technology Control Plans (TCPs) (which prescribe required training and handling), license and disclosure requests, auditing of controlled Sponsored Projects and reporting of any EC&TS violations to the appropriate agencies.
      2. The EO develops appropriate procedures and is responsible for implementing and maintaining EC&TS compliance procedures including TCP management, auditing and documentation.
  4. POLICY STANDARDS AND PROCEDURES
    1. The Principal Investigator (PI) on a Sponsored Project has the primary responsibility for determining if the project is Export Controlled. The EO assists in the determination and provides final UD approval.
    2. The PI works with the EO to develop and implement appropriate TCPs for all projects falling under the EC&TS regulations. The TCPs are subject to audit by the EO and/or the University Research Counsel/Advisor.
    3. The EO is responsible for verifying the eligibility of all staff working on controlled projects. The PI is responsible for providing the EO and/or the University Research Counsel/Advisor with the information required for this process and for making sure that all staff members with access to the controlled technologies and/or items have received adequate EC&TS training.
    4. While the EC&TS include provisions for which the fundamental research performed at universities may be exempt from licensing requirements, in general at UD, licenses are required for the export of items and technologies controlled under EC&TS. Should licenses be required to be obtained from the government, the PI will provide all necessary information for the licensing to the EO or the University Research Counsel/Advisor. In instances where UD is engaged in fundamental research involving controlled technologies or items, a TCP is typically employed to limit access to activity participants and require EC&TS training.
    5. The PI is responsible for the appropriate disposition of EC&TS controlled technologies/items in accordance with the TCP at the conclusion of the project and for reporting this disposition to the EO. The EO is responsible for verifying the disposition of the technologies.
    6. The EO is responsible for ensuring that all record keeping requirements for EC&TS controlled technologies are met.

Link: Export Regulations