Penalties for export control violations are substantial, including significant fines, debarment from participation in federal contracting, loss of export privileges, and in some cases imprisonment. In addition to these severe penalties, the potential reputational damage to an institution from violation of these laws could be difficult to repair, possibly resulting in lost opportunities for attracting world-class researchers and/or decreased access to research funding through private industry and government sources.
Export Control: Responsible to develop and implement university-wide policies and procedures, advise, train, and oversee institutional compliance with export control regulations. The Director is designated as the University’s primary Empowered Official with the authority to make export controls determinations and government license submissions on behalf of the institution. Export Control will respond to reports of potential violations of export control regulations, inform federal agencies, and lead efforts to respond to violations. Export Control will also provide guidance on next steps with identified restricted parties.
Primary Investigators (PIs) are responsible for (1) Assisting Export Control in the identification of activities that may intersect with export control regulations; (2) Maintaining a current export control training certification; (3) Confirming with Export Control all project personnel have completed training and are cleared to access export-controlled items; (4) Notifying Export Control of potential violations.
Central administrative units, departments, and colleges will coordinate with Export Control on centralized procedures for Restricted Party Screenings and identifying international collaborations, travel, services, and online study abroad requiring OFAC licenses. For example, all individuals affiliated with the University who work with international persons and entities must confirm via Restricted Party Screening and consultation with Export Control that activities are permitted with collaborators.
Training: University employees working on an export-controlled project with a Technology Control Plan (TCP) must complete export control training prior to working on a project and/or accessing export-controlled items or data. Agreements will not be processed by Contracting Services until training is confirmed as current and the TCP is in place.
Technology Control Plan: The purpose of a Technology Control Plan (TCP) is to control the visual, physical, or electronic access by unauthorized non–U.S. Persons to certain export-controlled data, items, materials, equipment and software. Before export-controlled work can begin or export-controlled data can be received, each project member must complete online export control training and participate in a TCP briefing from Export Control.