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University of Wyoming Export Control Procedures
Key Actors Responsible for Export Control Compliance
Both the Vice President for Research and Economic Development and the Associate Vice President for Research and Economic Development are the University of Wyoming's Empowered Officials for export control matters. In this capacity, the Empowered Officials have the authority to represent the university before the export control regulators in matters related to registration, licensing, commodity jurisdiction requests, or voluntary disclosures. While certain oversight functions may be delegated, only the Empowered Officials have the power to sign such paperwork and bind the university in any proceeding before DDTC, BIS, OFAC, or any other government agency with export control responsibilities.
University Research Compliance Officer
The University Research Compliance Officer reports to the Associate Vice President for Research and Economic Development. The University Research Compliance Officer has the authority and the responsibility for the implementation of the procedures set forth in this Export Compliance Program.
The University Research Compliance Officer works closely with the Associate Vice President for Research and Economic Development in performing his or her responsibilities. The University Research Compliance Officer:
1. identifies areas at the University of Wyoming relative to research and other activities that are impacted by export control regulations;
2. develops control procedures to ensure the university remains in compliance;
3. recommends procedures to the Associate Vice President and Vice President for Research and Economic Development to strengthen University of Wyoming's compliance;
4. educates inventors, principal investigators, centers, and academic units about export control regulations and procedures followed at University of Wyoming;
5. educates other units within the University of Wyoming such as Academic Affairs, Accounting, Procurement, International Programs, and Human Resources about export control regulations and procedures followed at University of Wyoming;
6. monitors new regulations;
7. works with others on campus to facilitate understanding and compliance with export controls;
8. conducts training and outreach on export controls;
9. assists investigators, researchers and offices within the University of Wyoming when research or research results are export controlled;
10. through the Associate Vice President and Vice President of Research and Economic Development, seeks assistance from the Office of General Counsel when uncertain about classification and in filing license applications; and
11. develops a Technology Control Plan ("TCP") for each export-controlled project consistent with these procedures to aid the principal investigator ("PI") in meeting his or her export control responsibilities.
Office of Research and Economic Development
The Office of Research and Economic Development provides assistance and expertise with export controls by working closely with the University Research Compliance Officer in identifying export control issues and providing support for the solution. The Office of Research and Economic Development:
1. provides assistance to PIs in reviewing the terms of a sponsorship agreement or grant to identify restrictions on publication and dissemination of the research results, and to help PIs negotiate out such restrictions;
2. completes an Export Control Checklist for every project and sends it to the University Research Compliance Officer for review if export controls issues are flagged; and
3. is responsible for maintaining a centralized database of documentation relating to a research project or education activity; and
4. coordinates with the PI's and the University Research Compliance Officer to ensure that foreign nationals will be isolated from participation in an export-controlled project in accordance with the TCP, unless the university applies for and obtains a license from the relevant agency.
Key University Managers
Academic deans, directors, and department heads will assist in export control compliance in their respective schools, departments, centers, or institutes and will support the Office of Research and Economic Development in implementing procedures as deemed necessary by the Office of Research and Economic Development for export control compliance.
In addition, the vice presidents and reporting directors of other offices or units on campus including, but not limited to: Academic Affairs, Accounting, Environmental Health and Safety, Human Resources, International Programs, and Procurement share the responsibility of overseeing export control compliance in their units and supporting the Office of Research and Economic Development in implementing procedures as deemed necessary by the Office of Research and Economic Development for export control compliance.
PIs have expert knowledge of the type of information and technology involved in a research project or other university activity, such as presenting at conferences, and discussing research findings in class with fellow researchers or collaborators. PIs must ensure that they do not disclose controlled information or transfer controlled articles or services to a foreign national without prior authorization as required. To meet his or her obligations, each PI:
1. must understand his or her obligations under export controls, and participate in regular trainings to help him or her identify export control issues;
2. must assist the Office of Research and Economic Development to classify the technology involved in the research or other university activity;
3. identify foreign nationals that may be involved and, if export control is likely, initiate the process of clearing foreign national participation well in advance to ensure that a license is obtained in a timely manner, or implement proper measures to isolate foreign nationals from participation;
4. must, if undertaking an export controlled project and with the assistance of the University Research Compliance Officer, brief the students and other researchers involved in the project of their obligations under export controls; and
5. cooperate with University Research Compliance Officer and the Office of Research and Economic Development in developing the TCP of which the PI has the responsibility to follow and implement. The TCP template is located at Appendix C or www.uwyo.edu/research/Export Control/
Export Control Analysis
An export control analysis should be performed when a PI submits a proposal, receives an award, or changes the scope of an existing project.
The PI will complete Appendix A and will submit that document to the University Research Compliance Officer for further review. At the time of the award, the Office of Research and Economic Development will complete Appendix B and will submit that document to the University Research Compliance Officer for further review. The University Research Compliance Officer will look for the following red flags indicating possible export control issues:
1. references to U.S. export regulations (beyond a mere statement to comply with the law);
2. restrictions on publication or dissemination of the research results;
3. pre-publication approval from sponsor;
4. proprietary or trade secret claims on project results;
5. restriction of access or participation to U.S. citizens only;
6. involvement of foreign sponsors or collaborators;
7. travel, shipping, or work performed outside the U.S.;
8. military applications of the project results; or
9. funding from the Department of Defense, including funding for Service branch sources, CAFOSR, ONR, etc., the Department of Energy, NASA, the National Reconnaissance Office, or other U.S. government agencies.
If the initial review flags a possible export controls issue, the project will be referred to the University Research Compliance Officer for final review. Upon completing the final review, the University Research Compliance Officer will advise the PI concerning the export controls which apply to the project, the restrictions on access by foreign persons, and any other relevant requirements pursuant to ITAR and EAR.
Technology Control Plan (TCP)
If the University Research Compliance Officer determines a project is export controlled, the University Research Compliance Officer will work with the PI to develop and implement a TCP to secure the controlled technology from access by unlicensed non-U.S. citizens. The TCP will include:
1. a commitment to export controls compliance;
2. identification of the relevant export control categories and controlled technologies;
3. identification of the project's sponsors;
4. identification and nationality of each individual participating in the project;
5. appropriate physical and informational security measures;
6. personnel screening measures; and
7. appropriate security measures for and following project termination.
Appropriate Security Measures
The TCP will include physical and informational security measures appropriate to the export control categories involved in the project. Examples of security measures include, but are not limited to:
- Laboratory Compartmentalization. Project operation may be limited to secured laboratory areas physically shielded from access or observation by unauthorized individuals. These areas must remain locked at all times.
- Time Blocking. Project operation may be restricted to secure time blocks when unauthorized individuals cannot observe or access.
- Marking. Export controlled information must be clearly identified and marked as export-controlled.
- Personnel Identification. Individuals participating in the project may be required to wear a badge, special card, or other similar device indicating their access to designated project areas. Physical movement into and out of a designated project area may be logged.
- Locked Storage. Tangible items such as equipment, associated operating manuals, and schematic diagrams should be stored in rooms with key-controlled access. Soft and hardcopy data, lab notebooks, reports, and other research materials should be stored in locked cabinets.
- Electronic Security. Project computers, networks, and electronic transmissions should be secured and monitored through User Ids, password controls, 128-bit Secure Sockets Layer encryption or other federally approved encryption technology. Database access should be managed via a Virtual Private Network.
- Confidential Communications. Discussions about the project must be limited to the identified and authorized project participants, and only in areas where unauthorized individuals are not present. Discussions with third party sub-contractors must occur only under signed agreements which fully respect the non-U.S. citizen limitations for such disclosures.
Training & Certification
Before any individual may observe or access the controlled technology, he or she must be briefed on the procedures authorized under the TCP, certify his or her agreement to comply with all security measures outlined in the TCP, and have his or her certification authorized by the University Research Compliance Officer or the Associate Vice President for Research and Economic Development. Appendix C provides the University of Wyoming's template for TCP briefing and certification. If the PI's project is awarded, regardless of the project's nature, each PI will receive a PI Memo describing export controls. The PI Memo is provided in Appendix D.