Important Updates & Deadlines


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The Training & Workshop page contains a test site for Cayuse and link to CITI training.   (Link is also below.) 

CITI Training is mandatory for all IRB and IACUC protocols.  

CITI Program

Please note that you will not be able to enter Cayuse IRB for at least 48 business hours after completing CITI training.

  

Export Controls

UWW Export Compliance Program Manual

Export Control Overview

(Adapted with permission from Montana State University)

Download the PDF

Export laws and regulations promulgated by the U.S. Department of Commerce, the U.S. Department of State and the U.S. Treasury Department are the bases for restricting use of and access to controlled information, goods, and technology for reasons of national security or protection of trade. In general, the export control regulations cover four main types of University activities:

  • transfers of controlled information, including technical data, to persons and entities outside the United States;
  • shipment of controlled physical items, such as scientific equipment, that require export licenses from the United States to a foreign country;
  • verbal, written, electronic, or visual disclosures of controlled scientific and technical information related to export controlled items to foreign national (everyone other than a U.S. citizen, a permanent resident alien, and certain ‘protected individuals' (refugees and those with asylum), including any company not incorporated in the United States), regardless of where the disclosure take place. Such a transfer is termed a "deemed export" and is regulated because the transfer is "deemed" to be to the country where the person is a resident or a citizen;
  • travel to certain sanctioned or embargoed countries for purposes of teaching or performing research.

Most exports do not require government licenses. However, licenses are required for exports that the U.S. government considers "license controlled" under:


Fortunately for universities, these regulations exclude publicly available, fundamental research results from the regulatory requirements for approvals or licenses. Both the EAR and ITAR define fundamental research in a similar manner; it is "basic and applied research in science and engineering where the resulting information is ordinarily published and shared broadly within the scientific community, as distinguished from research the results of which are restricted for proprietary reasons or specific U.S. Government access and dissemination controls."

The right to publish and disseminate the results of university research is a keystone principle of the University of Wisconsin - Whitewater. Fortunately, both EAR and ITAR recognize and protect the open, academic environment. Accordingly, as long as research results are freely publishable without required sponsor approvals and there are no restrictions on foreign nationals' access to or participation in the research, the research results are not subject to the EAR or ITAR regulations.

Tangible items, however, do not fall under the fundamental research exemption. In cases where a UWW researcher is fabricating an item (including materials subject to a materials transfer agreement) for shipment outside the U.S., that item must be checked against the EAR, ITAR, and OFAC lists referenced above to see whether a license is required. For help with this process and with obtaining an export license if necessary, please contact the Office of Research and Sponsored Programs.

Export Control Policy and Procedures

(Adapted with permission from Montana State University)

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It is the policy of the University of Wisconsin-Whitewater that, absent extraordinary circumstances, teaching, research, and service will be accomplished openly and without prohibitions or restrictions on the publication and dissemination of the results of academic and research activities. Certain federal regulations, however, may require the University to obtain permission from the Department of State, the Department of Commerce, or the Office of Foreign Assets Control before allowing foreign nationals to participate in research involving specific technologies or before sharing research information with persons who are not citizens of the United States or permanent resident aliens.

These export control regulations have the potential to limit the research opportunities of University researchers and their students, affect publication rights, and/or prevent international collaboration. In addition, violations of these export control regulations can result in the loss of research contracts, monetary fines, or prison. The regulations do not apply, however, to information that is in the public domain or to information that is the result of fundamental research activities, as defined by federal law.

Therefore, it is the policy of the University of Wisconsin-Whitewater to pursue its mission in teaching, research, and service in a manner that enables the University to claim the benefit of public domain or fundamental research exemptions from federal export regulations whenever possible, while at all times complying with such regulations. To implement this policy, the Office of Research and Sponsored Programs (ORSP), UW-System Office of Legal Counsel, and the Principal Investigators of UWW research contracts and grants must conduct a thorough review of research projects and contract and grant provisions to determine the applicability of export control regulations and the exemptions thereto.
This review will proceed as follows:

  1. The Principal Investigator will disclose on the Grant Submission Summary Page whether s/he is aware of any restrictions on access to or publication of research and technical data, limitations on the participation of foreign nationals in the research effort, or other restrictions rendering exemption from export control regulations inapplicable. Disclosure of awareness of such restrictions will not result in disapproval, but ORSP will work with the Principal Investigator and the sponsoring agency to determine as soon as possible the nature and impact of such restrictions.
  2.  After receipt of notice of award, ORSP will review the terms of all contracts or grants for provisions that restrict access to or publication of research and technical data, that limit the participation of foreign nationals in the research effort, or that otherwise render the exemptions from the export control regulations inapplicable. The results of such review are recorded on a checklist designed to facilitate such review that is signed and dated by the ORSP reviewer.
  3. If the results of such reviews indicate that an exemption from the export control regulations may not be available, ORSP will forward the checklist and supporting documentation to The UW- System Office Legal Counsel. The UW-System Office of Legal Counsel will confirm the review of ORSP and if the research contract or grant contains terms or conditions that affect the University's exemption from export control regulations, the matter will then be referred back to the ORSP Director or his designee.
  4. The Director of the Office of Research and Sponsored Programs (or designee), The UW-System Office of Legal Counsel, and the Principal Investigator for the research contract or grant will confer and together they will determine if the research falls into one of the categories of technology designated by the Department of State or the Department of Commerce as export controlled, or if the restrictions imposed by the Office of Foreign Assets Control apply. The results of that determination will be documented in the ORSP Award file.
  5. If the research contract or grant falls under the terms of any of these regulations, ORSP, acting in collaboration with The UW-System Office of Legal Counsel, will contact the research sponsor to attempt to negotiate the removal or modification of the provisions in the contract or grant that affect the University's exemption from export control regulations. If such negotiation does not result in the removal or modification of the identified clauses, the matter will be referred to the ORSP Director (or designee) to determine if the University will apply for an export control license, conduct the research under export control restrictions, or abandon the research effort due to the possible burdens or restrictions associated with compliance with the regulations.
  6. If the ORSP Director (or designee) and The UW-System Office of Legal Counsel determine that the University must apply for an export control license and the ORSP Director approves the conduct of the research given the licensing requirement, The UW-System Office of Legal Counsel will proceed to make application for the appropriate license. No work under a contract or grant, or proposed contract or grant, can begin until this process has been completed and any required export control license has been issued.
  7.  If the research is to be conducted under export control restrictions without an export license, the Principal Investigator shall certify (ITAR EAR Certification Form) that controls are in place to protect the restricted items or data from disclosure to non-resident foreigners and from export out of the country.
  8. If a research sponsor requests publishing or security restrictions after a grant agreement (without such restrictions) has been executed, the Principal Investigator shall contact ORSP before agreeing (formally or informally) to any such publishing or security restrictions. The Principal Investigator, ORSP and The UW-System Office of Legal Counsel will then work together generally as provided in Sections 4, 5, 6, and 7 for assessment of export control consequences and disposition of the sponsor request.
  9. Any questions or concerns about the application of export control regulation or any matters related to export control should be addressed to the Office of Research and Sponsored Programs.

  

In addition to actual shipment of a commodity out of the country, the export regulations also control the transfer, release, or disclosure of technical data about controlled commodities to foreign persons in the United States.  The "deemed export" regulation states that a transfer of "technology" (EAR term - Export Administration Regulations, Commerce Department) or "technical data" (ITAR term - International Traffic in Arms Regulations, State Department) to the foreign person is "deemed" to be an export to the home country of the foreign person.  Accordingly, for all controlled commodities, a license or license exception is required prior to the transfer of "technology" or "technical data" about the controlled commodity to foreign persons inside the U.S.


These phrases refer to technical information beyond general and basic marketing materials about a controlled commodity. They do not refer to the controlled equipment/commodity itself, or to the type of information contained in publicly available user manuals. Rather, the terms "technology" and "technical data" mean specific information necessary for the development, production, and/or use of a commodity.  They can an usually take the form of blueprints, drawings, photographs, plans, diagrams, models, formulas, tables, engineering specifications, and documentation.  The "deemed export" rules apply to transfer of such technical information to foreign nationals inside the U.S.


The export control regulations exempt from licensing requirements any technical information (except controlled items) resulting from "Fundamental Research".  Fundamental research is defined as basic and applied research in science and engineering that is conducted at an accredited U.S. institution of higher education, where the resulting information is ordinarily published and shared broadly within the scientific community.  Such research can be distinguished from proprietary research, the results of which ordinarily are restricted for proprietary reasons or specific national security reasons.  Research conducted by scientists, engineers, or students at a university normally will be considered fundamental research. The fundamental research exclusion permits U.S. universities to allow foreign members of their communities (e.g., students, faculty, and visitors) to participate in research projects involving export-controlled technical information on campus in the U.S. without a deemed export license.  Further, technical information resulting from fundamental research may be shared with foreign colleagues abroad and shipped out of the United States without securing a license.

If the sponsor retains the right to review and approve the publication or other dissemination of the research results, then the "fundamental research" exclusion may be lost.  It also may be lost if there are controls on the dissemination to, or participation in, the research by foreign nationals or if there are other security controls on the research. (See response to Question 7 below.)

Prepublication review by a sponsor of university research solely to ensure that the publication does not compromise patent rights, or inadvertently divulge proprietary information that the sponsor has furnished to the researchers, does not change the status of the research as fundamental research as long as the review causes no more than a temporary delay in publication of the research results.

However, if the sponsor will consider as part of its prepublication review whether it wants to hold the research results as trade secrets (even if the voluntary cooperation of the researcher would be needed for the company to do so), then the research would no longer qualify as "fundamental".  As used in the export regulations, it is the actual and intended openness of research results that primarily determines whether the research counts as "fundamental" and not subject to the export regulations.  University based research is not considered "fundamental research" if the university or its researchers accept (at the request, for example, of an industrial sponsor) restrictions on publication of scientific and technical information resulting from the project. Thus, even if the written sponsorship agreement contains no publication restrictions, if in practice, the researcher submits to a review and approval process, the results of the research will not retain the status of "fundamental research".


Information is "published" (and therefore not subject to export controls) when it becomes generally accessible to the interested public in any form, including: (1) publication both printed and electronic in periodicals, books, or other media available for general distribution (including websites that provide free uncontrolled access), or to a community of persons interested in the subject matter, such as those in a scientific or engineering discipline, either free or at a price that does not exceed the cost of reproduction and distribution; (2) readily available at libraries open to the public or at university libraries; (3) patents and published patent applications available at any patent office; and (4) release at an open conference, meeting, seminar, trade show, or other open gathering held in the U.S. (International Traffic in Arms Regulations, State Department) or anywhere (Export Administration Regulations, Commerce Department).  Note, a conference or gathering is "open" if all technically qualified members of the public are eligible to attend and attendees are permitted to take notes or otherwise make a personal record of the proceedings and presentations.  A conference is considered open notwithstanding a registration fee reasonably related to cost and/or there may be a limit on actual attendance (as long as the selection is either 'first come' or selection based on relevant scientific or technical competence).


Whether in the U.S. or abroad, the educational exclusions in EAR (Export Administration Regulations, Commerce Department) and ITAR (International Traffic in Arms Regulations, State Department) cover instruction in science, math, and engineering taught in courses listed in catalogues and associated teaching laboratories of academic institutions, even if the information concerns controlled commodities or items. Dissertation research must meet the standards for "fundamental research" to qualify as "publicly available."


The U.S. National Security Directive189 (1985) states: "It is the policy of this Administration that, to the maximum extent possible, the products of fundamental research remain unrestricted. It is also the policy of this Administration that, where the national security requires control, the mechanism for control of information generated during federally funded fundamental research in science, technology and engineering at colleges, universities and laboratories is classification. Each federal government agency is responsible for: a) determining whether classification is appropriate prior to the award of a research grant, contract, or cooperative agreement and, if so, controlling the research results through standard classification procedures; b) periodically reviewing all research grants, contracts or cooperative agreements for potential classification. No restriction may be placed upon the conduct or reporting of federally funded fundamental research that has not received national security classification, except as provided in applicable U.S. Statutes."


If the U.S. Government funds research and specific controls are agreed on to protect information resulting from the research, then information resulting from the project will not be considered fundamental research. Examples of "specific controls" include requirements for prepublication review by the Government, with right to withhold permission for publication; restrictions on prepublication dissemination of information to non-U.S. citizens or other categories of persons; or restrictions on participation of non-U.S. citizens or other categories of persons in the research.


In addition to actual shipment of a commodity out of the country, the export regulations also control the transfer, release or disclosure to foreign persons in the United States of technical data about controlled commodities. The "deemed export" regulation states that a transfer of "technology" (EAR term - Export Administration Regulations, Commerce Department) or "technical data" (ITAR term - International Traffic in Arms Regulations, State Department) to the foreign person is "deemed" to be an export to the home country of the foreign person. Accordingly, for all controlled commodities, a license or license exception is required prior to the transfer of "technology" or "technical data" about the controlled commodity to foreign persons inside the U.S.


Foreign persons or foreign nationals are:

  • Any natural person who is not citizen or permanent resident (green card holder) of the United States;
  • Foreign governments; and
  • Any foreign corporation or organization that is not incorporated or organized to do business in the U.S.

Technical data that is "in the public domain" under ITAR (International Traffic in Arms Regulations, State Department) or "publicly available" under EAR (Export Administration Regulations, Commerce Department), including "fundamental research", is not subject to deemed export controls.  Accordingly, the Export Control Policy at UW-Whitewater is based largely upon insuring that research results generated at the University meet the standards for "publicly available", thereby avoiding the necessity of securing a license prior to dissemination of information to foreign nationals involved in the research (including graduate students, post doctoral scholars, and visiting scientists). For University-based research, there are three different ways that the technical information may qualify for an exemption from the deemed export regulations. It is exempt if it:

  • Is published or disseminated;
  • Arises during, or results from, fundamental research or
  • Is educational information (as described at 15CFR734.9 and 22CFR120.10(a)(5)) released by instruction in catalog courses or associated teaching laboratories of academic institutions.

No.  Actual use of equipment by a foreign national in the U.S. is not controlled by the export regulations.  Indeed, inside the United States, any person (including foreign nationals) may purchase export-controlled commodities and the "deemed" export rule only applies to technical information about the controlled commodity.  As such, while the use of equipment inside the U.S. is not controlled, the transfer of technical information relating to the use (i.e., operation, installation, maintenance, repair, overhaul and refurbishing of equipment) may be controlled in certain circumstances. For example, if the manufacturer of the equipment provided the University some confidential, proprietary information about the design or manufacture of the equipment, then the University might need a "deemed" export license to provide such proprietary information to a foreign national, especially if shipment of the item to the home country of the foreign national would require an export license. In sum, the export regulations allow foreign students, researchers, and visitors to use (and receive information about how to use) controlled equipment while conducting fundamental research on U.S. university campuses or while studying at the institution, as long as the technical information about the controlled equipment qualifies as "in the public domain" or "publicly available."


The Commerce Department has export jurisdiction over all goods and all "technology" (Commerce Department term for information) in the United States, unless some other agency has expressly been given such authority. However, this does not mean that a license must be obtained before any item or piece of information can be shipped.

In order to determine whether it is necessary to obtain an export license from the relevant federal agency to send tangible items outside the United States, the researcher preparing the shipment needs to consider:

  • the description of the item,
  • its intended end-use and end-user, and
  • its destination.

Items and equipment used to conduct fundamental research, or which are the result of fundamental research, going to a country that is not on any list of prohibited destinations (Cuba, Iran, Sudan, and sometimes and for some purposes, other countries such as Syria and North Korea) for use in that country in furtherance of fundamental research, ordinarily will qualify for "No License Required" (NLR) treatment under the Commerce Department regulations (EAR 99). If you have any questions or need more information regarding outbound shipments please contact the Office of Research and Sponsored Programs.

Transfer of commodities and equipment is only controlled by the export regulations when the item is shipped out of the country.  Licenses to ship an item outside the United States are required even when the item or equipment is used in or results from fundamental research. If a commodity is controlled under ITAR (International Traffic in Arms Regulations, State Department), then a license is always required before it can be shipped to any country outside the United States, except in limited circumstances such as shipment to a military base overseas. (Back to top)

The UW-System Legal Office handles such licenses.  In most cases, the University is not fabricating or shipping ITAR (International Traffic in Arms Regulations, State Department) controlled items, since these are generally items specifically designed for military purposes. For commodities controlled under EAR (Export Administration Regulations, Commerce Department-items useful for both military and civilian purposes), whether a license is required depends upon the country to which the item is being shipped. Even in cases where license approval from the Department of Commerce is not required to ship the item to the country, there are administrative requirements and records that must be maintained regarding shipments of EAR controlled items out of the United States. The Office of Research and Sponsored Programs can assist you in determining whether a specific license is required, will secure a license when needed, and can advise you on what records need to be maintained in cases where the item can be shipped without a license.


UWW faculty and staff must take the following steps to assure that they do not violate the export regulations and become personally liable for the substantial civil and criminal penalties:

Prior to shipment of any commodity out of the U.S., determine if the commodity requires an export license and assist in securing such license, when required.

Secure license approval or verify license exception PRIOR to shipment for all controlled items. Contact the Office of Research and Sponsored Programs for guidance on verifying license exceptions and submission of license applications.

Assure that all technical data about export-controlled commodities qualify as "publicly available" under the above-described criteria (e.g., publish early and often).

Do not accept publication controls or access/dissemination restrictions (such as approval requirements for use of foreign nationals), enter into 'secrecy agreements', or otherwise agree to withhold results in research projects conducted at UWW or that involve UWW facilities, students, or staff.

Do not accept proprietary information from another that is marked "Export Controlled".  Return to the manufacturer any materials they provide to you about export-controlled equipment that is marked "Confidential". Along with the Office of Research and Sponsored Programs, review any Confidentiality/Non-Disclosure Agreements to insure that UWW, and you, are not assuming the burden of restricting dissemination based on citizenship status or securing licenses.

Do not attend meetings that foreign nationals are prohibited from attending. Do not sign the DD2345, Militarily Critical Technical Data Agreement, as a condition of attending a conference or receiving materials from the government.

Do not travel to conduct research or educational activities to the embargoed countries of the Balkans, Burma, Cote d'Ivoire (Ivory Coast), Cuba, Iran, Iraq, Liberia, North Korea, Sudan, Syria, or Zimbabwe, without first checking with the Office of Legal Counsel to ascertain whether a license from the Department of Treasury, Office of Foreign Assets Control, is required.  Note that the designation of embargoed countries changes from time to time, so if researchers have questions about any country, contact Office of Research and Sponsored Programs.

Contact the Office of Research and Sponsored Programs for assistance if you encounter problems in any of the above areas. We will help you to resolve the matter so that your research may proceed in a manner that avoids violation of the export regulations.

The University's mission of education and research and the international nature of science and academic discourse, require that we maintain an open academic environment without regard to citizenship or visa status. The federal export regulations provide appropriate "safe harbors" for fundamental research to protect the University. By following the above guidance, we can assure that the faculty, students and staff at UWW do not compromise our academic standards and, as well, do not violate the export regulations.

Failure to preserve the Fundamental Research Exclusion can result in EAR or ITAR's licensing requirements applying to information (technology or technical data) concerning controlled commodities or items. Unless a license exception applies, a "deemed" export license would then be required before information is conveyed (even visually thorough observation) to foreign students, researchers, staff or visitors on campus, and an actual export license would be required before information is conveyed abroad to anyone.


Red Flag Areas for Researchers

High risk research areas:

  • Engineering
  • Computer information systems
  • Encryption
  • Space and satellite technology

Troublesome clauses:

  • Restrictions on participation by foreign nationals
  • Restrictions on publication of research results
  • NDAs, MTA or other agreements that restrict access to materials or data

Foreign Involvement:

  • Training foreign nationals
  • Collaborating with non-U.S.colleagues in U.S. or abroad
  • Shipping (or transmitting) anything (prototypes/samples/etc.) to a foreign country
  • Travel to a foreign country
  • Working with a country subject to a U.S. boycott

Unknown entities:

  • Private research sponsors-especially unknown, smaller entities or individual (need to be screened against restricted party lists)

Countries Subject to Restrictions

Comprehensively Embargoed Countries by Controlling Government Department:

OFAC (Office of Foreign Assets Control)

  • Crimea Region of Ukraine
  • Cuba
  • Iran
  • North Korea
  • Syria

EAR (Export Administration Regulations)

  • Crimea Region of Ukrain
  • Cuba
  • Iran
  • North Korea
  • Syria


Targeted Sanctions Countries by Controlling Government Department:

OFAC (Office of Foreign Assets Control)

  • Brundi
  • South Sudan
  • Myanmar (formerly Burma)
  • Central African Republic
  • Somalia
  • Russia/Ukraine)
  • Democratic Republic of the Congo
  • Belarus
  • Zimbabwe
  • Libya
  • Iraq
  • Balkans
  • Lebanan
  • Iraq
  • Venzuela
  • Sudan
  • Yemen

 


EAR (Export Administration Regulations)

  • Iraq


Countries with Restricted Entities on the EAR (Export Administration Regulations) Entity Chart:

  • China
  • Pakistan
  • Lebanon
  • Canada
  • Russia
  • Singapore
  • Germany
  • Egypt
  • South Korea
  • Iran
  • Malaysia
  • Syria
  • India
  • Hong Kong
  • United Arab Emirates
  • Israel
  • Kuwait
  • United Kingdom

ITAR (International Traffic in Arms Regulations) Prohibited Countries:

  • Afghanistan
  • Fiji
  • North Korea
  • Liberia
  • Zimbabwe
  • Belarus
  • Iran
  • Syria
  • Rwanda
  • Venezula
  • Central African Republic
  • Iraq
  • Vietnam
  • Somalia
  • Democratic Republic of the Congo
  • Cuba
  • Cote d'Ivoire
  • Myanmar
  • Sri Lanka

 

  • Cyprus
  • Lebanon
  • China
  • Republic of the Sudan 

 

  • Eritrea
  • Libya
  • Haiti
  • Yemen

 

Export Control Violation Penalties 

(Adapted with permission from Montana State University)

Violations can result in both civil and criminal penalties for the individual and for the institution. In addition to a civil penalty not to exceed $10,000 for each violation of the export regulation, there are criminal penalties that may be imposed, including a fine of up to $1 million against institution, and a fine of up to $250,000, or imprisonment of not more than 10 years, or both against the individual. Voluntary self-disclosures, if made appropriately, can mitigate the seriousness of the penalty. Penalties apply to each individual violation, which means that if a violation relates to more than one controlled material or item, or occurs on more than one occasion, each item or incident may trigger a penalty.

Contact the Office of Research and Sponsored Programs immediately if you think you have made a mistake and violated export controls; they will work with the UW-System Office of Legal Counsel to assess how best to remedy the situation.

Location

Office of Research and Sponsored Programs
800 West Main Street
2243 Andersen Library
Whitewater, WI 53190-1790

Contact

Phone: 262-472-5212
Fax: 262-472-5214
Email: orsp@uww.edu