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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: '''05/08/13'''<br />
Revised Date: '''DRAFT 12/26/13'''<br />
Reviewed Date: '''05/08/13'''
Reviewed Date:  
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<big>'''Export Control Policy'''</big><br />
<big>'''Export Control Policy'''</big><br />
==Policy==
==Policy==
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.
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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.
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.
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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 conduct or results of fundamental research. Fundamental research conducted outside of the U.S., however, remains subject to export controls.  
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.
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A "foreign person" is anyone 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 foreign corporation, business association, partnership or any other entity or group that is not incorporated to do business in the U.S. Foreign persons may include international organizations, foreign governments and any agency or subdivision of foreign governments such as consulates. 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 country of citizenship for the purposes of its “deemed export rule”.
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”.  
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'''FUNDAMENTAL RESEARCH:''' The concept of "fundamental research" was established by National Security Decision Directive 189. NSDD 189 defines fundamental research as:
'''FUNDAMENTAL RESEARCH:''' The concept of "fundamental research" was established by National Security Decision Directive 189. NSDD 189 defines fundamental research as:
:'''''basic and applied research in science and engineering where the resulting information is to be shared broadly within the scientific community.'''''
:'''''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.'''''
NSDD 189 provides that the conduct, 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.
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.  
Faculty, staff, students and affiliates of the University of Nebraska Medical Center will comply with all applicable federal regulations that apply to the export of equipment and technology developed or used in the course of research.  
== Applicable Federal Regulations ==  
== Applicable Federal Regulations ==  
The export control regulations summarized here each impose severe monetary and criminal penalties for failure to comply with their requirements.<br />
The export control regulations summarized here each impose severe monetary and criminal penalties for failure to comply with their requirements.<br />
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=== U.S. Department of State - International Traffic in Arms Regulations (ITAR) 22 CFR 120-130 ===
=== U.S. Department of State - International Traffic in Arms Regulations (ITAR) 22 CFR 120-130 ===
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."  
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."  
=== U.S. Department of Commerce - Export Administration Regulations (EAR) 15 CFR 700-799 ===  
=== 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.
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 ===  
=== U.S. Department of the Treasury - Office of Foreign Assets Control (OFAC) 31 CFR 500-599 ===  
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*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,
*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 description of the tangible item, software or information,
*the technical characteristics and specifications of the item, software or information
*the technical characteristics and specifications of the item, software or information,
*its intended end-use and end-user, and
*its intended end-use and end-user, and
*its destination.
*its destination.
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For international shipments involving shipping chemicals, biologicals or other dangerous materials, contact UNMC’s Chemical Safety Officer and Biosafety Officer as applicable.
For international shipments involving shipping chemicals, biologicals or other dangerous materials, contact UNMC’s Chemical Safety Officer and Biosafety Officer as applicable.
== Accepting a Third Party's Controlled Items or Data ==
== Accepting a Third Party's Controlled Items or Data ==
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 the fundamental 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.
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.  
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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.
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.
== Additional Information and Resources ==
== Additional Information and Resources ==
*For questions regarding the use of "No License Required” or license exceptions and exemptions, please contact the [mailto:mmorien@unmc.edu UNMC Export Control Officer]/ITAR Empowered Official (402-559-4518)
*For questions regarding the use of "No License Required” or license exceptions and exemptions, please contact the [mailto:mmorien@unmc.edu UNMC Export Control Officer]/ITAR Empowered Official (402-559-4518)
*For additional information concerning the applicability of the export control regulations to any specific set of facts, questions should be directed to the [mailto:mmorien@unmc.edu UNMC Export Control Officer]/ITAR Empowered Official (402-559-4518).  
*For additional information concerning the applicability of the export control regulations to any specific set of facts, questions should be directed to the [mailto:mmorien@unmc.edu UNMC Export Control Officer]/ITAR Empowered Official (402-559-4518).  
*Inquiries may also be addressed to the [mailto:sarah.glodencarlson@unmc.edu Chief Compliance Officer] (402-559-6767).
*Inquiries may also be addressed to the [mailto:sarah.glodencarlson@unmc.edu Chief Compliance Officer] (402-559-9576 or 402-559-6767).
*[http://wiki.unmc.edu/images/c/c2/Export_Control_Decision_Tree.pdf Export Control Decision Tree]
*[http://wiki.unmc.edu/images/c/c2/Export_Control_Decision_Tree.pdf Export Control Decision Tree]
*[http://www.pmddtc.state.gov/regulations_laws/itar.html ITAR Website]  
*[http://www.pmddtc.state.gov/regulations_laws/itar.html ITAR Website]  
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