University of Arkansas at Little Rock
Policy Name: Export Control
Policy Number: LR 603.19
Effective Date: April 21, 2022
Revised Date: –
Most Recent Review Date: –
Reason for Policy
Export control regulations govern the transfer or release of U.S. information, commodities, technology, or software that is critical to the U.S. for reasons of national security, foreign policy, or the protection of the economy and commerce. Despite the fact that many university research, teaching, or service activities managed by faculty, staff and students are shielded by the fundamental research exclusion, export control regulations apply to many activities at UA Little Rock that do not involve research, and to which one might not expect these regulations to apply.
The purpose of this policy is to communicate the university’s commitment to comply with U.S. export control regulations, including, but not limited to those found in the Export Administration Act. In addition, this policy seeks to educate the UA Little Rock community on the essential aspects of regulations to activities conducted at the university and explain how the university will assist the university community in compliance.
Definition of Terms
Deemed Export: Release or transmission of information or technology subject to export control to any foreign national in the United States, including graduate student and training fellows. The release of this information/technology is “deemed” to be an export to the foreign national’s home country.
Educational Information: Information that is normally released by instruction in catalog courses and associated teaching laboratories of academic institutions is considered “Educational Information” and is not subject to export controls.
Export: Release or transmission of information or technology subject to export control to any person outside the United States (including a U.S. citizen abroad).Export examples include the actual shipment of goods as well as the transfer of written documents or information via email, phone, fax, internet, and verbal conversations.
Export Control License: A written authorization provided by the appropriate governing regulatory authority detailing the specific terms and conditions under which export or re-export of export controlled items is allowed.
Export Control Officer: The Export Control Officer (ECO) is responsible for the development and implementation of export control policies and assisting the university community in evaluating research activities and creating technology control plans if necessary. The ECO is also the Empowered Official responsible for obtaining federal licenses and other approvals for export-controlled research activities.
Export Control License Exception: An authorization that allows one to export or re-export, under very specific conditions, items that would normally require a license. Export license exceptions are detailed in Export Administration Regulations (EAR) §740
Foreign National: Anyone who is not a U.S. citizen, or who is not a lawful permanent resident of the U.S., or who does not have refugee or asylum status in the U.S. Any foreign corporation, business association, partnership, trust, society, or any other foreign entity or group as well as international organizations and foreign governments are considered foreign national(s).
Fundamental Research: As defined by National Security Decision Directive 189 (NSDD 189), “‘Fundamental research’ means 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.”
Re-Export: Occurs whenever items, materials, information, software, technology or other unclassified but restricted to data are sent from one foreign country to another foreign country.
U.S. Person: A U.S. person is any U.S. citizen, permanent U.S. resident alien, or protected individual, wherever that person is located. U.S. incorporated or organized firms and their foreign branches are also considered U.S. person(s).
Policy Statement
I. Scope
This policy applies to all University employees, students, affiliates, and consultants whose research, scholarship, and job responsibilities involve the use of university resources.
II. Applicable Federal Export Control Regulations and Agencies
A. The Department of State, through the Directorate of Defense Trade Controls (DDTC), administers the International Traffic in Arms Regulation (ITAR). ITAR controls the export of items that have primarily military or space applications.
B. The Department of Commerce, through the Bureau of Industry and Security (BIS), administers the Export Administration Regulations (EAR). EAR controls the export of dual-use items (i.e., those items having both commercial and military applications) as well as strictly commercial items.
C. The Department of the Treasury, through the Office of Foreign Assets Control (OFAC), is responsible for enforcing specific embargoes and/or sanctions.
III. Export Control at UA Little Rock
A. Administration: The Office of Research Compliance is the administrative unit on campus responsible for the development of policy, processes, and training materials related to export control. The Export Control Officer is responsible for providing support to the university community in complying with export control regulations.
B. Training Requirements: CITI Export Control Training is required of anyone hosting a foreign national, shipping or sending international packages, or traveling to a foreign country. Access to CITI training can be obtained from the Office of Research Compliance.
C. Fundamental Research Exclusion: UA Little Rock is conducting research in many high-risk areas including science and engineering. It is a general practice of the university to foster a research environment conducive to the expansion of general knowledge and the open release of knowledge acquired for the public good. The federal regulations provide a broad exemption from export controls for basic or applied academic research that is normally published and shared with the research community. This broad exemption is commonly referred to as the fundamental research exclusion. To qualify as fundamental research, and thus be exempt from export controls, research must be conducted free of any publication restrictions or access or dissemination controls. It is critical that the researcher and the university continue to ensure that all fundamental research results are widely and openly published and made available to the academic community to safeguard the fundamental research exclusion. The Fundamental Research Exclusion applies only to the dissemination of research data and information, not to the transmissions of material goods. The Export Control Officer can assist in evaluating whether specific research is covered by the Fundamental Research Exclusion.
D. PI Responsibilities: A Principal Investigator (PI) must ensure that his or her activities conform to export control rules and regulations and that he or she not disclose controlled information or transfer controlled articles or services to a foreign national without prior authorization as required. All faculty, staff, students, and University affiliates must be aware of export control implications of their work and must ensure their activities conform to export control rules and regulations. Any required export control license and/or approval must be obtained before exporting anything deemed controlled. Refer to the Office of Research Compliance informational webpage for export control implications.
IV. Noncompliance
Non-compliance of the export control regulations may result in severe penalties for the institution, as well as criminal sanctions to the individual faculty, staff and students. The regulations and this policy apply to all faculty, staff, visiting scientists, research associates and fellows, postdoctoral fellows, student employees, students, volunteers, and all other personnel retained by or working for the university, but all personnel working in the following high-risk areas should especially become familiar with this policy and the procedures described above: engineering, physical and computer sciences; the biological sciences; or personnel conducting research or academic collaboration with colleagues in counties that have been designated by the U.S. Department of State as supporting terrorism.
Penalties for noncompliance can be imposed on institutions and individuals. These may include partial or complete denial of export privileges, civil fines, or seizure of equipment. Criminal penalties for willful violations of U.S. export regulations may include fines of up to $1,000,000.00 and imprisonment for up to a period of 20 years.
Any workforce member who becomes aware of a potential violation of this policy and/or any export control regulations must immediately report the violation to their supervisor or the Office of Research Compliance.
Violation of this Policy and or any export control regulations may result in disciplinary action up to and including termination, dismissal, and expulsion in accordance with the UA Little Rock Faculty and Staff Handbooks.
Source: Initial Policy
Status: Active
Originator: Executive Vice Chancellor for Academic Affairs and Provost
Approved By: Chancellor Dr. Christina Drale, April 15, 2022
Custodian: Vice Provost for Research and Dean of Graduate School