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Policy No. '''8005'''<br />
Policy No. '''8005'''<br />
Effective Date: '''12/18/12'''<br />
Effective Date: '''12/18/12'''<br />
Revised Date: '''02/01/18'''<br />
Revised Date: '''DRAFT'''<br />
Reviewed Date: '''04/09/20'''
Reviewed Date: ''''''
<br /><br />
<br /><br />
<big>'''Export Control Policy'''</big><br />
<big>'''Export Control Policy'''</big><br />
==Policy==
==Authority==
All personnel, including faculty, staff, research associates and fellows, visiting scholars, students, and all other persons retained by or working at the University of Nebraska Medical Center and its affiliates will comply with all applicable U.S. laws and regulations while teaching, conducting research or providing service activities at or on behalf of the university. As such, personnel are required to comply with the U.S. laws that regulate the transfer of items, information, technology, software, and funds to destinations and persons outside of the U.S., as well as in some cases, to non-U.S. citizens at the university.  
Statutes, regulations, and policies related to export controls include, but are not limited to:
*The Arms Export Control Act, [https://www.govinfo.gov/app/details/USCODE-2018-title22/USCODE-2018-title22-chap39 22 U.S.C. § 2751 ''et seq.'']
*The Export Controls Act, [https://www.govinfo.gov/app/details/USCODE-2018-title50/USCODE-2018-title50-chap58 50 U.S.C. § 4801 ''et seq.'']
*Assistance to Foreign Atomic Energy Activities, [https://www.ecfr.gov/cgi-bin/text-idx?SID=8d0f469c37e6a5363c34f2fab9c97c26&mc=true&node=pt10.4.810&rgn=div5 10 C.F.R. § 810]
*The Export Administration Regulations (EAR), [https://www.ecfr.gov/cgi-bin/text-idx?SID=8d0f469c37e6a5363c34f2fab9c97c26&mc=true&tpl=/ecfrbrowse/Title15/15CVIIsubchapC.tpl 15 C.F.R. §§ 730-774]
*The International Traffic in Arms Regulations (ITAR), [https://www.ecfr.gov/cgi-bin/text-idx?SID=8d0f469c37e6a5363c34f2fab9c97c26&mc=true&tpl=/ecfrbrowse/Title22/22CIsubchapM.tpl 22 C.F.R. §§ 120-130]
*The Foreign Assets Control Regulations, [https://www.ecfr.gov/cgi-bin/text-idx?SID=8d0f469c37e6a5363c34f2fab9c97c26&mc=true&tpl=/ecfrbrowse/Title31/31chapterV.tpl 31 C.F.R. §§ 500-599]
*[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/university-of-nebraska-travel-policy.pdf University of Nebraska Travel Policy TO-01]
*UNMC Policy No. 8000, [Compliance Program]
*UNMC Policy No. 8006, [Code of Conduct]
==Definitions==
===Export===
Any item that is taken, transferred, or sent from the United States to a foreign destination is an export, including, but not limited to, commodities, software, technology, instrumentation, chemicals, biological materials, circuit boards, blueprints, design plans, retail software packages and technical information.<br />
<br />
<br />
<br />
The following activities constitute exports:
Export controls, set forth in regulations administered by several federal agencies, impose access, dissemination, and participation restrictions on the transfer and retransfer of "controlled" information and on the export and reexport of tangible items. The United States Department of Commerce must issue an export license or there must exist an exception to or exclusion from license requirements before any controlled tangible item, software or information on the U.S.  Commerce Control List (CCL) of the Export Administration Regulations (EAR) may be exported or reexported. Likewise, if a tangible item, software or information is on the U.S. Munitions List (USML), the U.S. State Department must issue an export license or provide for an exception to or exclusion from licensing requirements.
#International shipments;
<br />
#Checking items into luggage for international travel;
<br />
#Hand-carrying items for international travel;
Export controls restricting a foreign national's participation in university research within the United States, i.e., "deemed export" restrictions, generally do not apply to the results of fundamental research. Fundamental research conducted outside of the U.S., or subject to specific U.S. Government access and dissemination controls however, remains subject to export controls. 
#Transfers by any means of information, data, or software to recipients outside the United States (including transfers to U.S. Persons); and
<br />
#Providing services to Non-U.S. Persons.
<br />
===Deemed Export===
In the case of shipments of certain tangible items, software or information outside the U.S., UNMC has the responsibility to either:
A transfer by any means of information, data, software, or services to a Non-U.S. Person in the United States is deemed an export to all countries of nationality of the Non-U.S. Person.
*Obtain an export license;
===U.S. Person===
*Document an express determination that an exception to export licensing requirements applies; or
A U.S. Person is a natural or legal person in any of the following categories:
*Document an express determination that no license is needed.
#Citizens of the United States;
== Definitions ==
#Lawful permanent residents of the United States;
'''EXPORT:''' Means to send or take controlled tangible items, software or information out of the United States in any manner, to transfer ownership or control of controlled tangible items, software or information to a foreign person, or to disclose information about controlled items, software or information to a foreign government or foreign person. The controlled tangible item, software or information being sent or taken out of the United States is also referred to as an "export."
#Refugees, asylees, and other individuals protected under [https://www.govinfo.gov/content/pkg/USCODE-2018-title8/html/USCODE-2018-title8-chap12-subchapII-partVIII-sec1324b.htm 8 U.S.C. 1324b(a)(3)];
<br />
#The government of the United States or of any state or territory; or
<br />
#Corporations, business associations, and other organizations incorporated or otherwise authorized to do business in the United States.
'''REEXPORT:''' Means an actual shipment or transmission of controlled tangible items, software or information from one foreign country to another foreign country. The export or reexport of controlled tangible items, software or information that will transit through a country or countries, or will be unloaded in a country or countries for reloading and shipment to a new country, or are intended for reexport to the new country, are deemed to be exports to the new country.
===Non-U.S. Person===
<br />
A Non-U.S. Person is any natural or legal person who is not a U.S. Person. This includes UNMC Personnel international organizations, foreign corporations, foreign governments (including diplomatic missions), and foreign universities.  
<br />
===Restricted Parties===
'''DEEMED EXPORT:''' Is a term used by the U.S. Commerce Department to describe the situation where a foreign national on U.S. soil may be exposed through visual inspection or oral transmission of information relating to an export-controlled item or export-controlled software or information.  
Restricted Parties are entities and individuals subject to export sanctions under federal law. U.S. Persons are prohibited from exporting some or all items to Restricted Parties without an export license or other federal approval.
<br />
===Technology Control Plan===
<br />
A Technology Control Plan is a security protocol required for UNMC activities that involve export-controlled components. Technology Control Plans are used to manage physical and information security requirements, individual access controls to equipment and data, and project closeout procedures.
'''U.S. PERSON/FOREIGN PERSON:''' A "U.S. person" is a citizen of United States, a lawful permanent resident alien of the U.S., (a "Green Card" holder), a refugee or someone here as a protected political asylee or under amnesty. U.S. persons also include organizations and entities, such as universities, incorporated in the U.S. The general rule is that only U.S. persons are eligible to receive controlled items, software or information without first obtaining an export license from the appropriate agency unless a license exception or exclusion is available.
===UNMC Personnel===
<br />
UNMC Personnel include, for the purposes of this policy:
<br />
#Faculty;
A "foreign person" is any natural person who is not a U.S. citizen, lawful permanent resident or who is not a protected individual as defined by 8 USC section 1324b(a)(3). A foreign person also means any corporation, business association, partnership, trust, society or any other entity or group that is not incorporated in the U.S. or organized to do business in the U.S. as well as international organizations, foreign governments and any agency or subdivision of foreign governments (e.g. diplomatic mission). In determining nationality for International Traffic in Arms Regulations (ITAR) purposes, the U.S. Department of State, Directorate of Defense Trade Controls (DDTC) will consider country of birth as well as any country where the person is or was a citizen. The U.S. Department of Commerce considers only the most recent country of citizenship for the purposes of its “deemed export rule”.  
#Staff;
<br />
#Students;
<br />
#Volunteers;
'''FUNDAMENTAL RESEARCH:''' The concept of "fundamental research" was established by National Security Decision Directive 189. NSDD 189 defines fundamental research as:
#Visitors; and
:'''''basic and applied research in science and engineering, the results of which ordinarily are published and shared broadly within the scientific community as distinguished from proprietary research and from industrial development, design, production, and product utilization, the results of which ordinarily are restricted for proprietary or national security reasons.'''''
#Any other individuals who participate in any activity on behalf of UNMC, irrespective of appointment, compensation, or the location of the activity.
NSDD 189 provides that the products and results of fundamental research are to proceed largely unfettered by deemed export restrictions. It also states that the government must determine - before releasing a research opportunity - whether the research should be classified or otherwise kept secret. Research that carries access, participation, or dissemination restrictions will not qualify as fundamental research for purposes of the export control regulations.  
==Scope==
== Applicable Federal Regulations ==  
This policy applies to all UNMC personnel, irrespective of appointment, compensation, or the location of the activity.
The export control regulations summarized here each impose severe monetary and criminal penalties for failure to comply with their requirements.<br />
==Background ==
<br />
The University of Nebraska Medical Center is committed to leading the world in transforming lives to create a healthy future for all individuals and communities through premier educational programs, innovative research and extraordinary patient care. To fulfill this mission, UNMC encourages partnerships and collaborations with the best and brightest individuals and institutions throughout the world. While the majority of research and global engagement may proceed without restrictions, the United States government imposes controls on certain exports to protect the spread of strategically important technology, services, and information to foreign countries and Non-U.S. Persons. The University recognizes the importance of these regulations and requires compliance with these export controls from every member of the UNMC community.
=== U.S. Department of State - International Traffic in Arms Regulations (ITAR) 22 CFR 120-130 ===
==Statement of Policy==
The U.S. Department of State, Directorate of Defense Trade Controls (DDTC), is responsible for items and information inherently military in design, purpose, or use. Referred to as "defense articles," such items are found on the U.S. Munitions List (USML), 22 CFR 121. Spacecraft and satellites, even if not for military use, are on the USML, along with their associated systems and related equipment. Information related to defense articles is referred to as "technical data."
All UNMC Personnel must comply with all applicable United States laws and regulations while teaching, conducting research, providing care, traveling internationally, or participating in other activities at or on behalf of UNMC. As such, UNMC Personnel are required to comply with the laws, regulations, and University of Nebraska policies governing the transfer of items, information, technology, software, and funds to destinations and persons outside of the United States, as well as to Non-U.S. Persons in the United States, including UNMC and/or Nebraska Medicine personnel.<br />
=== U.S. Department of Commerce - Export Administration Regulations (EAR) 15 CFR 730-774 ===  
The U.S. Department of Commerce, Bureau of Industry and Security (BIS), has export jurisdiction over everything in the United States, although BIS does not require a license for every export. BIS controls goods and information having both civilian and military uses by including them on the Export Administration Regulations (EAR) Commerce Control List (CCL), 15 CFR 774, also known as the "Dual Use List." BIS uses the term "technology" when referring to information about the goods on the CCL.
=== U.S. Department of the Treasury - Office of Foreign Assets Control (OFAC) 31 CFR 500-599 ===  
The U.S. Department of the Treasury oversees U.S. economic sanctions and embargoes through its Office of Foreign Assets Control (OFAC). Empowered by the Trading with the Enemy Act and the International Emergency Economic Powers Act, OFAC enforces trade, anti-terrorism, narcotics, human rights and other national security and foreign policy based sanctions prohibiting the provision of anything of value, either tangible or intangible, to sanctioned countries, organizations or individuals. The pertinent regulations provide OFAC with broad authority to block or interdict vaguely defined "prohibited transactions" involving restricted destinations or parties.


== Export Licenses for Overseas Shipments ==
UNMC Personnel will not engage in any export transaction unless all required licenses or other approvals are in place.<br />
The U.S. Department of Commerce has export jurisdiction over all goods and all "technology" or information in the United States, unless some other agency has expressly been given such authority. However, this does not mean that a license must be obtained before any item or piece of information can be shipped. An [http://wiki.unmc.edu/images/c/c2/Export_Control_Decision_Tree.pdf Export Control Decision Tree] is available to assist in determining the applicability of export control regulations in the case of shipments of tangible items or transfers or transmission of software code or information outside U.S. borders.
<br />
<br />
In order to determine whether it is necessary to obtain an export license from the relevant federal agency to send tangible items or to transfer or transmit software code or information outside the United States, the researcher preparing the shipment or transfer needs to consider:
*whether the software code 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 or information,
*the technical characteristics and specifications of the item, software or information,
*its intended end-use and end-user, and
*its destination.
All tangible items, software code and information not on a U.S. export control list may be shipped or transmitted to any country, individual or entity that is not sanctioned, embargoed or otherwise restricted for export. Such items, code and information may be exported as EAR99 or as "No License Required" (NLR), with identified Export Control Classification Number (ECCN) and exception.  
<br /><br />


Certain overseas shipments or transmissions being handled on a "No License Required" basis will require an explanation and justification (ECCN and License Exception) for that classification.
There are no exceptions to this policy.
For international shipments involving shipping chemicals, biologicals or other dangerous materials, contact UNMC’s Chemical Safety Officer and Biosafety Officer as applicable.
==Responsible Parties==
== Accepting a Third Party's Controlled Items or Data ==
===Empowered Official for ITAR===
Export-controlled items, software code or information provided by a third party may not be openly shared with certain foreign nationals, even though those individuals may be important contributors to the performance of research. For example, a corporate vendor or a research partner may have to disclose the proprietary information on a piece of export-controlled hardware being provided for use in carrying out a fundamental research experiment. Proprietary or restricted information that is required for the development, production or use of export-controlled equipment is itself export-controlled. It carries with it export control requirements that must be honored by the researcher who agrees to be a recipient of such information.  
Pursuant to [https://www.ecfr.gov/cgi-bin/text-idx?SID=168a469fd3f577057b746ca37a21ac41&mc=true&node=se22.1.120_125&rgn=div8 22 C.F.R. 120.25], the University of Nebraska’s Senior Empowered Official may appoint one or more individuals to serve as Empowered Official for ITAR for UNMC. The Empowered Official for ITAR has independent authority to oversee UNMC’s compliance with the International Traffic in Arms regulations, including the following authorities and responsibilities:
<br />
#Serving as UNMC’s sole signatory authority on applications for export licenses and other requests for approval under the International Traffic in Arms Regulations;
<br />
#Inquiring into any aspect of a proposed export or temporary import;
Generally, federal regulations require that only U.S. persons may be provided with export-controlled items, software code or information without having to obtain an export license. Nonetheless, there are some specific exemptions (ITAR) and license exceptions (EAR) available to those within the University community that may be useful. It is extremely important to keep them in mind should it become necessary to share any export-controlled items, software code or information beyond the original recipient.
#Verifying the legality of all export and temporary import transactions and the accuracy of the information to be submitted to the relevant government agencies;
#Refusing to sign any license application or other request for approval without prejudice or other adverse recourse;
#Taking appropriate measures to enforce this policy, including without limitation halting or suspending activities and exports; and
#Any other authorities and responsibilities enumerated at [https://www.ecfr.gov/cgi-bin/text-idx?SID=168a469fd3f577057b746ca37a21ac41&mc=true&node=se22.1.120_125&rgn=div8 22 C.F.R. 120.25].
===Export Control Office===
The director, officers, managers, and coordinators of the Export Control Office are responsible for developing, maintaining, and enforcing UNMC’s export policies and procedures.
Specifically, the responsibilities of the Export Control Office include:
#Serving as the primary point of contact for UNMC Personnel regarding this policy and export controls generally;
#Advising UNMC and UNMC Personnel on transactions and other relationships with Restricted Parties;
#Providing guidance to UNMC Personnel regarding international travel and export transactions;
#Assisting UNMC Personnel in developing and maintaining compliance protocols for export-controlled activities;
#Providing training and other educational resources related to export compliance to UNMC Personnel;
#Working with other UNMC offices as appropriate to support compliance with federal law and University of Nebraska policy, including assisting in reviewing agreements governing international transactions and/or export-controlled activities, reviewing international shipments, and reviewing disclosures of foreign support;
#Serving as UNMC’s sole signatory authority for export license applications related to any activities subject to the Export Administration Regulations, the Foreign Assets Control Regulations, and other regulations governing exports;
#Supporting the Empowered Official for ITAR;
#Performing periodic and ad hoc audits of UNMC activities subject to export controls to verify compliance with this policy and federal export laws and regulations; and
#Investigating reported or suspected violations of this policy or federal export laws or regulations.
===UNMC Personnel===
All UNMC Personnel are responsible for:
#Disclosing international research, service, clinical activity, and travel to the Export Control Office;
#Complying with the terms of awards or service agreements subject to export controls, including, as necessary, developing Technology Control Plans in coordination with the Export Control Office;
#Monitoring compliance with any Technology Control Plan(s) for themselves and any other UNMC Personnel under their supervision;
#Reporting any violations, or suspected violations, of this policy or export control laws or regulations to the Export Control Office or anonymously through the [https://wiki.unmc.edu/index.php/Compliance_Hotline UNMC Compliance Hotline];
#Completing export compliance training as assigned by the Export Control Office; and
#Taking any other steps or compliance actions as directed by the Export Control Office.
==Violations==
Failure to comply with this policy will result in corrective or disciplinary action as provided under UNMC Policy No. 1098, [https://wiki.unmc.edu/index.php/Corrective/Disciplinary_Action Corrective and Disciplinary Action], including termination, dismissal, or exclusion from participation in federally funded activities.
Failure to comply with US export law may result in significant criminal and civil penalties for both the individual in violation and UNMC.
== Additional Information and Resources ==
== Additional Information and Resources ==
*For more information about the applicability of export controls to specific activities (including research, shipping, and international travel), please contact the [mailto:exportcontrol@unmc.edu UNMC Export Control Office] (402-559-9328).
*For more information about the applicability of export controls to specific activities (including research, shipping, and international travel), please contact the [mailto:exportcontrol@unmc.edu UNMC Export Control Office] (402-559-9328).
*Inquiries may also be addressed to the [mailto:sarah.glodencarlson@unmc.edu Chief Compliance Officer] (402-559-9576 or 402-559-6767).
*UNMC Compliance Hotline: 1-844-348-9584 or [[www.nebraska.ethicspoint.com]]
*[https://www.unmc.edu/academicaffairs/compliance/areas/export.html UNMC Export Control Website]
*[https://www.unmc.edu/academicaffairs/compliance/areas/export.html UNMC Export Control Website]
*[http://wiki.unmc.edu/images/c/c2/Export_Control_Decision_Tree.pdf Export Control Decision Tree]
*[https://info.unmc.edu/safety/Export-Shipping.html UNMC Transporting and Shipping Internationally website]
*[http://www.pmddtc.state.gov/regulations_laws/itar.html ITAR Website]  
*UNMC Policy No. 1098, [https://wiki.unmc.edu/index.php/Corrective/Disciplinary_Action Corrective and Disciplinary Action]
*[https://www.bis.doc.gov/index.php/regulations/export-administration-regulations-ear EAR Website]
*UNMC Policy No. 8014, [https://wiki.unmc.edu/index.php/Disclosing_Foreign_Support_and_International_Activities Disclosing Foreign Support and International Activities]
*[https://www.treasury.gov/about/organizational-structure/offices/pages/office-of-foreign-assets-control.aspx OFAC Website]  
*[https://www.pmddtc.state.gov/ddtc_public Directorate of Defense Trade Controls website ]
*[https://www.bis.doc.gov/ Bureau of Industry and Security website]
*[https://www.treasury.gov/about/organizational-structure/offices/pages/office-of-foreign-assets-control.aspx Office of Foreign Assets Controls website]
*[https://www.energy.gov/nnsa/national-nuclear-security-administration National Nuclear Security Administration website]
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This page maintained by [mailto:dpanowic@unmc.edu dkp].
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