Export Control Compliance - Identification and Management

Identification and Management of Export Control Issues in University Research

Compliance with export control regulations is principally important and necessary for the protection of national security interests. Penalties for violations of these regulations can be severe, and include possible loss of research funding, significant monetary penalties and, in some cases, individual criminal liability. Thus, it is important for all University of Arizona personnel involved in research activities or contracting to become informed about, and comply with, the export control laws.

If an exclusion or exemption is not available under the EAR or ITAR, the University may be required to obtain a license from the DoS or DoC before allowing foreign nationals to participate in the research, partnering with a foreign company and/or sharing such information or technologies (verbally or in writing) with foreign nationals. If the country, the end use or end user of information or articles is on one of the federal government's restricted or prohibited lists, no export license may be available at all. In such cases, the export of information, technology or equipment related to the research activity could be prohibited.

For these reasons, it is important to identify and manage export control issues as early as possible in the consideration of a research proposal and prior to the commencement of the research. It is also important to be aware of the exclusions and exemptions available under the export control laws, including but not limited to the Fundamental Research exclusion (EAR §734.8 and ITAR §120.11), which precludes the application of EAR and ITAR export restrictions to information resulting from publishable, basic or applied research that meets specific requirements.

To that end, the Principal Investigator, the University's contracting offices and the Office of the Vice President for Research, Graduate Studies, and Economic Development must work closely together to determine whether and, if so how, University activities are affected by export control laws and regulations.