Why is Export Control Compliance Important:
The United States, like most countries, has laws which control the export of certain strategic tangible and non-tangible items.
- Export control violations can result in civil and criminal penalties which may apply to an individual and/or the institution up to $1 million and/or 20 years of imprisonment, per violation.
- Administrative Penalties include loss of export privileges or suspension and debarment from government contracting.
Sponsored Project Administration and Export Control Reviews
At time of award, SPA Award Acceptance Officers will review awards for identifiers that would have the project be subject to export control regulations.
All projects identified by SPA with possible export control concerns are referred to the Office of Research Integrity for a final determination.
If a project is deemed subject to export control regulations, a Technology Control Plan (TCP) and Training of all project staff must be completed prior to the release of the awarded funds.
A Technology Control Plan
If UVM’s Research Compliance Officer or Executive Director determines that the sponsored project activity is subject to any of the export control regulations, establishment of a Technology Control Plan (TCP) or other certification document will need to be generated.
The Technology Control Plan details the export control classification, restriction on release of information, physical and information security protocols, project personnel requirements and other requirements to ensure all parties understand their obligations.
Fundamental Research Exemption
See the Fundamental Research Exemption Matrix (PDF)
There is one exception that benefits researchers who are conducting research with the intent of publishing and sharing their results with other researchers. It is called the Fundamental Research Exemption.
To qualify for a Fundamental Research exemption, the following needs to be evident in the award:
There should be no publication restrictions. A sponsor “review and comment” (not approval) of a publication is not considered a restriction.
- There should be no foreign person restrictions.
- The scope of research work should be basic or applied.
- The work must be done at a U.S. accredited institution of higher learning in the U.S.
- There is no specific national security controls on the research or results.
Visual Compliance Software
Visual Compliance is a web-based export control management tool that is useful for conducting the following export control compliance functions:
- Restricted parties screening;
- Locating Federal Regulations on export controls;
- Searching the ECCN and USML; and,
- Assisting in license determinations.
Research Integrity has a license to use Visual Compliance to assist in export controls compliance at the University of Vermont.
To schedule a Visual Compliance review contact Victoria Jones, LL.M., Research Compliance Officer, at Victoria.Jones.firstname.lastname@example.org or 656-1329.
What You Need to Do
If you find yourself about to engage in a research activity related to export-controlled (EAR, ITAR) items please contact Victoria Jones, LL.M., Research Compliance Officer, at Victoria.Jones.email@example.com or 656-1329.