1. Policy Statement.
It is the policy of the University of Florida to comply with all United States export control laws and regulations including, but not limited to, those implemented by the Department of Commerce through its Export Administration Regulations (EAR) and the Department of State through its International Traffic in Arms Regulations (ITAR) as well as trade controls imposed by the Treasury Department through its Office of Foreign Assets Control (OFAC).
This Policy applies to all University employees and all non-employees performing activities on behalf of the University, including but not limited to:
a) Faculty and graduate and professional student appointments identified as Academic Personnel in the University of Florida Regulation 7.003 Academic Personnel Employment Plan;
b) Regular, non-exempt or exempt employees in research, academic, or administrative positions, including Technical, Executive, Administrative and Managerial Support (TEAMS) staff; University Support Personnel System (USPS) staff; and Other Support Personnel (OSP) as defined in University of Florida Regulation 1.100;
c) University students; and
d) Visiting scientists, researchers, or scholars.
Comprehensively Sanctioned Country: A country embargoed under the authority of the U.S. Department of the Treasury’s Office of Foreign Assets Control (OFAC). Comprehensive sanctions include the blocking of assets and trade restrictions.
Export Controls: the set of regulations that govern the export of commodities and technology outside of the U.S. or to a foreign person, including but not limited to, the International Traffic in Regulations, the Export Administration Regulations and all sanctions and embargoes enacted by the OFAC.
Export Control Officer (ECO): A U.S. person, appointed by the Vice President for Research, who is legally empowered to submit documentation on behalf of U.S. Governing Bodies, including license applications. The ECO is the UF official who makes determinations related to export controls, including but not limited application for license exclusions, exceptions, and exemptions, or to designate such determinations to other qualified individuals.
Export License: A license is an authorization from a U.S. Governing Body to engage in a transaction that would otherwise be prohibited. Only UF’s designated Export Control Officer, or the Export Control Officer’s supervisor(s) may apply for export licenses on behalf of UF.
Restricted Party: Each U.S. Governing Body with oversight for export controls publishes lists of restricted (or denied) parties. Individuals, groups or entities a U.S. government agency has identified as a restricted party cannot engage in certain aspects of business U.S persons without specific authorization.
U.S. Governing Body: the three principal U.S. regulatory governing bodies that oversee Export Controls: the U.S. Department of State, the U.S. Department of Commerce, and the U.S. Department of the Treasury.
4. Policy Specifics.
a) Compliance with Export Control Laws, Regulations, and Policies. All individuals identified in Section 2, Applicability, must comply with all U.S. and University export control laws, regulations, and policies when performing any activities on behalf of UF, including all aspects of education, research, and service.
b) Export Control Review. The following activities must be reviewed and approved by the UF Export Control Officer (ECO) or designee prior to UF engagement:
- i) Research awards or contracts which restrict either publication of results or foreign national involvement;
- ii) Shipment or transfer of export-controlled information, technology, technical data or items outside of the United States, whether temporarily or permanently;
- iii) Transfer of export-controlled information, technology, or technical data to a foreign national located within the United States when such transfer would constitute a deemed export requiring approval pursuant to export control laws, regulations, or policies;
- iv) International Travel;
- v) Interaction with a citizen of or an entity located in a comprehensively sanctioned country, including travel to, importing or exporting to or from, signing agreements, building partnerships, and engaging in online education with an individual located in a sanctioned country;
- vi) Research involving export-controlled information, technology, technical data or items which are enumerated on either the United States Munitions List or Commerce Control List;
- vii) International Material Transfer Agreements (MTAs); and
- viii) Non-Disclosure Agreements indicating the exchange of export controlled information.
c) Export Control Licenses. The ECO will determine if an export license from a U.S. Governing Body is required for engagement in an export-controlled activity. If so, the ECO serves as the University’s signatory authority for license applications and related documents.
d) Restricted Parties. The University will not enter into contracts or other agreements, do business with, or engage in any activity with entities on a U.S. government restricted party list without the prior written approval of the ECO.
e) Reporting Suspected Violations. All individuals identified in Section 2, Applicability, must immediately report to the ECO any suspected violation of export control laws, regulations or policies, a UF Technology Control Plan, or this policy.
5. Review and Adjudication.
The ECO serves as the UF expert authority on export controls, providing guidance to all UF individuals on export control issues. Only the ECO or the ECO’s supervisor(s) may act as the University’s signatory authority for license applications or other export-related permissions.
6. Policy Violations.
Failure to comply with export control laws, regulations, and policies may result in the imposition of criminal and/or civil fines against the University and/or its employees. Additionally, failure to comply with export control laws, regulations or policies, a UF Technology Control Plan, or this policy could result in University disciplinary action, up to and including termination.
Please direct any questions concerning export controls or this policy to the UF Export Control Officer at firstname.lastname@example.org or 352-392-9174.