U.S. export laws and regulations control the export of certain information, technology, hardware and services to foreign countries, as well as to foreign nationals located in the United States. These controls present unique challenges for universities, requiring a careful balance between maintaining the mission of academic freedom, publication and dissemination of information, and protecting U.S. security and economic interests. Export laws and regulations include a number of provisions that exclude or exempt most university activities in the United States from export licensing requirements. When applicable, however, these laws and regulations can impose access, dissemination, and participation restrictions on University of Kansas (“KU”) activities beyond sponsored research, including collaboration with foreign nationals, travel and shipping.
Export laws and regulations are complex and the civil and criminal penalties for violating them can be severe. Therefore, it is critical for members of the KU community to understand the scope of these provisions and to have policies and procedures in place to help ensure full compliance with U.S. export laws and regulations.
KU’s Policy and Commitment to Export Compliance
As noted in the Chancellor's statement regarding KU's Commitment to Export Compliance, it is KU's policy to abide fully by federal laws and regulations, including the Export Administration Regulations (“EAR”), the International Traffic in Arms Regulations (“ITAR”), Office of Foreign Assets and Control (“OFAC”), and all other applicable export and import regulations, including those in the U.S. and abroad.
In the interests of national security, the economy, and foreign policy, the United States regulates the transfer of certain controlled information, materials, software, technology and commodities. The Department of Commerce, Department of State, Treasury Department and other federal agencies regulate these items, which may require university personnel to secure authorization (a license) before the items or information can be exported to another country or shared with foreign nationals working on or visiting our campus.
As part of our strategic vision to increase international collaboration, KU has implemented export and import internal controls that improve compliance and better support our international mission. With the full cooperation of all faculty and staff in support of these policies and programs, KU will manage and minimize risks associated with our international collaboration.
Specifically, the University of Kansas has:
Established an Office of Export Compliance ( “OEC”) . The OEC reports to the Office of the General Counsel, and will advise KU faculty and staff on international export/import controls, provide procedural guidance, and provide training to support international activity.
Appointed Empowered Officials pursuant to the International Traffic in Arms Regulations. These Empowered Officials will act to ensure proper controls are in place for protection of export- controlled technology in accordance with all applicable regulations and laws. The Provost will serve as the senior Empowered Official.
Implemented policies and procedures for international shipping and receiving of material and technical information. Such policies and procedures will assist the university in complying with regulations on the transfer of technology and materials, including the transfer to foreign parties in the United States.
Developed roles and responsibilities for export control on all campuses. KU will utilize an Export Control Team to include stakeholders in areas such as IT, Human Resources, campus police, international programs, research and administration, finance, procurement, and compliance.
Scope and Objectives of KU’s Export Compliance Manual
The Export Compliance Manual (“Manual”) and the policies and procedures contained herein, are designed to ensure that KU complies fully with all applicable U.S. export control laws and regulations. The Manual applies to the KU community, including its faculty, staff, students, and third party contractors. The Manual contains procedures applicable to KU’s operations and may be updated, as appropriate, to reflect changes in the law or to KU’s policies and procedures.
The objectives of this Manual are as follows:
• Help to ensure that all of KU’s activities comply with applicable U.S. export control laws and regulations by setting forth relevant policies and procedures;
• Identify compliance officials and communicate responsibilities to individuals within the KU community;
• Provide the necessary information to assist with licensing determinations, screening and other licensing issues;
• Establish recordkeeping, training, and auditing procedures in support of KU’s export compliance obligations and objectives.
Responsibilities of Key Personnel and Departments
A. Office of Export Compliance
The Office of Export Compliance (OEC) is responsible for directing and monitoring the University’s export control compliance program and implementing procedures and/or guidelines to comply with federal export control laws and regulations, including developing, implementing, and updating the Manual.
When requested or needed, the OEC will assist other offices and employees in export control assessments to determine compliance obligations with respect to University activities involving Foreign Persons or international activities under applicable export control laws and regulations, and to determine the applicability of the Fundamental Research Exclusion (FRE) or other exclusions provided by law. The OEC will also assist with Restricted Party and Technological Screening (RPS) and consult with KU’s Office of the General Counsel (OGC) on export control matters as appropriate. The OEC will conduct periodic self-assessments of the University’s compliance with export control laws and regulations.
B. Export Compliance Officer
The Export Compliance Officer (“ECO”) serves as the Director of the OEC and as an Empowered Official for KU. The ECO reports to the General Counsel and has the authority and the responsibility for the implementation of the procedures set forth in KU's Export Compliance Manual, including:
• Acting as a principal point of contact for agencies with regulatory or enforcement authority under the export control regulations;
• Signing and submitting license applications and other requests for approval on behalf of the University;
• Reviewing and approving technology control plans submitted by faculty members; and
• Managing the University’s registrations and online accounts with regulatory agencies and add or remove users and responsibilities as necessary.
C. Empowered Officials
Empowered Officials are responsible for authorizing license applications and other approvals required for compliance with export control laws and regulations, and serve as KU’s representatives and points of contact with federal agencies having export control jurisdiction.
The Executive Vice Chancellor and Provost at KU's Lawrence campus, the Associate Vice Chancellor for Compliance at the KU Medical Center, and the University Export Compliance Officer have been appointed as Empowered Officials.
D. Export Control Team (“ECT”)
The ECT is responsible for ensuring regulatory compliance and developing and implementing procedures to screen proposals, projects and other activities for compliance with export control laws and regulations. The ECT consists of Director-level positions and subject matter experts from the following areas:
• Research Administration
• Internal Audit
• IT Security
• Human Resources
• Edwards, Salina, and Wichita campus Points of Contacts
• International Programs
• Campus Police
• Environmental, Health & Safety (EH&S)
The ECT works closely with the OEC, PIs, contract administration, and others in identifying export control issues and providing support for their resolution. Members of the ECT work with faculty and staff, and assist project teams as appropriate in their areas of responsibility to identify and resolve export control issues in the following areas:
• Assistance in reviewing the terms of proposals and agreements and in determining whether the international activity is export controlled;
• Assistance in identifying factors that can negate the Fundamental Research Exclusion and in negotiating the deletion of such restrictions, if possible;
• Coordination with PIs and the OEC on export controlled activity to ensure that export controlled material and information are secured, that export licenses and other export authorizations are obtained when necessary, and that export controlled technology is safeguarded thru the use of a Technology Control Plan (TCP);
• Coordination with OEC to ensure that all export control determinations related to international work is communicated to all stakeholders who include PIs, contract negotiators and administrators assigned to the research, and project team members, as appropriate.
E. Export Operations Group
All PIs, administrators, supervisors, coordinators and others involved in export regulated activities or with authority over foreign persons or projects involving export controlled information or hardware should view export control compliance as an important part of their day- to-day responsibilities. These individuals are responsible for overseeing export control compliance in their areas of responsibility and supporting the OEC, ECT, and Empowered Officials in implementing the procedures set forth in this Manual.
To meet his or her obligations, each person must:
• Understand export control obligations and participate in regular training in order to be able to identify and assess export control issues;
• Determine, prior to initiation of research or exporting information or material, whether the activities are subject to export control laws or regulations;
• Be aware of red flags and other export control indicators, including noting such information on any internal control or assurance forms;
• Periodically review his or her international activities (travel, communication, shipping, etc.) to make sure that export control laws and regulations are complied with;
• If undertaking an export controlled project, brief the researchers, staff, and students involved in the project of their export control obligations and applicable Technology Control Plans; and
• Understand that any informal agreements or understandings entered into with a sponsor may negate the FRE or other key exclusions and impose export control obligations on the project team.
F. Individual Responsibility
All KU faculty, staff, and students, visiting faculty and scientists, postdoctoral fellows, affiliates and volunteers working at or for KU must conduct their affairs in accordance with United States export control laws and regulations. While compliance with all applicable legal requirements is imperative, it is equally important to maintain an open research environment that welcomes the participation of researchers from around the world as part of KU's mission.
To maintain this balance, KU personnel must be familiar with the United States export control laws and regulations, including applicable exclusions and exemptions, as they relate to their responsibilities. Depending upon the nature of their activities and/or job functions, KU personnel may be required to participate in formal training as determined by the Empowered Officials and/or the employees’ supervisors.