Export Control Policy

It is the policy of the University of Colorado Boulder to comply fully and completely with all United States export control laws and regulations, such as the Export Administration Regulations (EAR) implemented by the Department of Commerce, International Traffic in Arms Regulations (ITAR) implemented by the Department of State, and regulations implemented by the Treasury Department through its Office of Foreign Assets Control (OFAC).

The U.S. Department of Commerce must issue an export license or provide for an exemption from license requirements before any tangible item, software, or information located on the Commerce Control List may be exported or reexported. Likewise, the U.S. Department of State must issue an export license or provide for an exemption from licensing requirements for any items, software, or information located on the U.S. Munitions List. Failure to secure the required licenses subjects the researcher to potential criminal and civil penalties as well as University sanctions.

Introduction

Research, scholarly, and other activities of the University of Colorado Boulder are subject to the United States export control laws. These laws govern the transfer of certain tangible items, software, technology, and information, to a foreign national or to a foreign country. If a person seeks to export a controlled item, the person must first secure the appropriate license(s) or approvals. Definitions of terms in this policy appear in Section IV.

Certain travel, procurement, and research activities are covered by federal expert control laws. For more detailed information on export control policies, and procedures for dealing with those through the CU Boulder campus, please see http://www.colorado.edu/VCResearch/integrity/exportcontrols/index.html. For other questions about this policy, contact the Office of Research Integrity Linda.Morris@colorado.edu.

I. Procedures, Forms, Guidelines, and Resources

An export license may be required when University research or activity involves the transfer, shipment, or disclosure of certain tangible items, software, technology, or information.

A. Overseas Shipments

The Office of Research Integrity is charged with determining whether an export license is required for the shipment of items, software, technology, and information outside of the United States. In order to determine whether an export license is necessary, the researcher preparing the shipment or transfer must provide the Office of Research Integrity with the following information:

  • Whether the item, software, technology, or information is proprietary or disclosure-restricted and thus possibly export controlled, or whether it resulted from fundamental research to which export controls do not apply;
  • The description of the tangible item, software, technology, or information;
  • The technical characteristics and specifications of the item, software, or information;
  • The intended end-use and end-user of the item, software, or information;
  • The destination.

If the Office of Research Integrity determines a license is required for the shipment or transmission of the item, software, technology, or information, the Office of Research Integrity will work in conjunction with the researcher to apply for the license.

Certain overseas shipments or transmissions that are exported without a license will require justification and documentation for that classification. Such documentation should be prepared by the researcher with the assistance of the Office of Research Integrity.

B. Disclosures or Transfers to Foreign Persons

The Office of Research Integrity is charged with determining whether an export license is required for the disclosure or transfer of controlled tangible items, software, technology, or information to foreign persons. An export is deemed to occur, and a license may be required even if the transfer or disclosure occurs within the United States. In order to determine whether an export license is necessary for items, software, technology, or information that is disclosed or transferred to foreign persons, the researcher must provide the Office of Research Integrity with the following information:

  • The description of the tangible item, software, technology, or information;
  • The technical characteristics and specifications of the item, software, or information;
  • The foreign persons country of citizenship and the country of citizenship of all other persons who may have access to the item, software, technology, or information.

C. Foreign Travel

While most foreign travel does not require a license, travel to certain foreign locations may be governed by export control laws. For example, the U.S. Department of the Treasury regulations restrict certain financial transactions with Cuba, Iran, Sudan, North Korea, and Burma. Traveling abroad with certain controlled tangible items, software, technology or information may also require an export license.

Individuals traveling to restricted, sanctioned, or embargoed countries are responsible for notifying the Office of Research Integrity. The Office of Research Integrity will work with the individual to determine whether approval or licenses are necessary.

D. Accepting Controlled Items or Data From Others

The results of fundamental research may proceed openly and be shared freely with foreign nationals in the U.S. without concern of export restrictions. However, export-controlled items, software code or information provided by a third party may not be openly shared with certain foreign nationals, even though such individuals may be important contributors to the performance of the fundamental research.

Before a researcher decides to accept export-controlled items, software code or information provided by a third party, the researcher must determine the nationality of individuals who will have access to the item, code, or information. The researcher must then work in conjunction with the Office of Research Integrity to determine each recipient's eligibility under export control regulations. This determination must be made before the export-controlled item, code, or information is shared with the recipient. If the proposed recipient is eligible to receive the export-controlled information, the researcher must document the available license exclusion or license exception.

E. Recordkeeping Requirements

Export control regulations contain specific recordkeeping requirements. Departments or programs must retain copies of all export documentation, including financial records, shipping documentation, and appropriate certifications in their research project file for a period of five years from the date of the export, reexport, or controlled deemed export.

II Definitions

Export. Export means any of the following: 1) actual shipment of any covered goods or items; 2) the electronic or digital transmission of any covered goods, items or related goods or items; 3) any release or disclosure, including verbal disclosures or visual inspections, or any technology, software or technical data to any foreign national; or 4) actual use or application of covered technology on behalf of or for the benefit of any foreign entity or person anywhere.

Reexport. Reexport means an actual shipment or transmission of items subject to export regulations from one foreign country to another foreign country. For the purposes of the U.S. EAR, the export or reexport of items subject to the EAR that will transit through a country or countries to a new country, or are intended for reexport to the new country, are deemed to be exports to the new country.

Foreign Person. A foreign person is any foreign 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.; any international organization, foreign government and any agency or subdivision of foreign governments; and any person who is not a U.S. citizen, a lawful permanent resident of the U.S. or who does not have refugee or asylum status in the U.S.

Fundamental Research. Fundamental Research means basic or applied research in science and engineering performed or conducted at an accredited institution of higher learning in the United States where the resulting information is ordinarily published and shared broadly in the scientific community. Fundamental research is distinguished from research that results in information that is restricted for proprietary reasons or national security reasons (EAR) or pursuant to specific U.S. government access and dissemination controls (ITAR).

Date: December 8, 2009
Approved by: Philip P. DiStefano, Chancellor
Author(s): Joseph Rosse, Director, Office of Research Integrity , Linda Morris, Export Compliance Coordinator , Distribution: by Vice Chancellor for Research

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