Office of Regulatory Compliance

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13001 E. 17th Place, Suite W1124
Mail Stop F497
Aurora, CO 80045
Main Office: 303-724-1010
Main Fax: 303-724-1019

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Export Control Policy

It is the policy of the University of Colorado Denver to comply fully and completely with all United States export control laws and regulations, such as the Export Administration Regulations (EAR) implemented by the Department of Commerce, International Traffic in Arms Regulations (ITAR) implemented by the Department of State, and regulations implemented by the Treasury Department through its Office of Foreign Assets Control (OFAC).

The U.S. Department of Commerce must issue an export license or provide for an exemption from license requirements before any tangible item, software, or information located on the Commerce Control List may be exported or reexported. Likewise, the U.S. Department of State must issue an export license or provide for an exemption from licensing requirements for any items, software, or information located on the U.S. Munitions List. Failure to secure the required licenses subjects the researcher to potential criminal and civil penalties as well as University sanctions.

Introduction

Research, scholarly, and other activities of the University of Colorado Denver are subject to the United States export control laws. These laws govern the transfer of certain tangible items, software, technology, and information, to a foreign national or to a foreign country. If a person seeks to export a controlled item, the person must first secure the appropriate license(s) or approvals. Definitions of terms in this policy appear in Section IV.

Certain travel, procurement, and research activities are covered by federal expert control laws. For more detailed information on export control policies, and procedures for dealing with those through the UCDenver campus, please contact the Office of Regulatory .

I. Procedures, Forms, Guidelines, and Resources

An export license may be required when University research or activity involves the transfer, shipment, or disclosure of certain tangible items, software, technology, or information.

A. Overseas Shipments

The Office of Research Integrity is charged with determining whether an export license is required for the shipment of items, software, technology, and information outside of the United States. In order to determine whether an export license is necessary, the researcher preparing the shipment or transfer must provide the Office of Regulatory Compliance with the following information:

  • Whether the item, software, technology, or information is proprietary or disclosure-restricted and thus possibly export controlled, or whether it resulted from fundamental research to which export controls do not apply;
  • The description of the tangible item, software, technology, or information;
  • The technical characteristics and specifications of the item, software, or information;
  • The intended end-use and end-user of the item, software, or information;
  • The destination.

If the Office of Regulatory Compliance determines a license is required for the shipment or transmission of the item, software, technology, or information, the Office of Regulatory Compliance will work in conjunction with the researcher to apply for the license.

Certain overseas shipments or transmissions that are exported without a license will require justification and documentation for that classification. Such documentation should be prepared by the researcher with the assistance of the Office of Regulatory Compliance. Please complete the UCD Shipping Worksheet prior to contacting ORC.

B. Disclosures or Transfers to Foreign Persons

The Office of Regulatory Compliance is charged with determining whether an export license is required for the disclosure or transfer of controlled tangible items, software, technology, or information to foreign persons. An export is deemed to occur, and a license may be required even if the transfer or disclosure occurs within the United States. In order to determine whether an export license is necessary for items, software, technology, or information that is disclosed or transferred to foreign persons, the researcher must provide the Office of Regulatory Compliance with the following information:

  • The description of the tangible item, software, technology, or information;
  • The technical characteristics and specifications of the item, software, or information;
  • The foreign person’s country of citizenship and the country of citizenship of all other persons who may have access to the item, software, technology, or information.

Effective December 22, 2010 the Department of Homeland Security revised the I-129 Petition for a Nonimmigrant Worker (work visa application) to require the University to state whether an export license is required for the worker because he or she will have access to export-controlled technology or technical data. Determining whether an export license is required can be a complex, technical process and the penalties for not obtaining a license when one is required are very substantial.

In order to meet this new requirement, ALL H-1B and O-1 visa applicants must submit a UCD Deemed Export Visa worksheet to the Export Control Administrator within the Office of the Vice Chancellor for Research. This worksheet will provide the necessary information to make an initial determination of whether a license may be required. The Export Control Administrator will then provide this determination to the Office of International Education -- International Student and Scholar Services (ISSS) so that they can check the correct box in Part 6 of the H-1B petition.

The primary contact for more information about export control regulations is: (303-724-1010;).

C. Foreign Travel

While most foreign travel does not require a license, travel to certain foreign locations may be governed by export control laws. For example, the U.S. Department of the Treasury Office of Foreign Asset Control (“OFAC”) regulations restrict certain financial transactions with particular individuals and entities. For a current list, check both: AND Traveling abroad with certain controlled tangible items, software, technology or information may also require an export license.

Individuals traveling to restricted, sanctioned, or embargoed countries are responsible for notifying the Office of Regulatory Compliance. The Office of Regulatory Compliance will work with the individual to determine whether approval or licenses are necessary.

D. Accepting Controlled Items or Data from Others

The results of fundamental research may proceed openly and be shared freely with foreign nationals in the U.S. without concern of export restrictions. However, export-controlled items, software code or information provided by a third party may not be openly shared with certain foreign nationals, even though such individuals may be important contributors to the performance of the fundamental research.

Before a researcher decides to accept export-controlled items, software code or information provided by a third party, the researcher must determine the nationality of individuals who will have access to the item, code, or information. The researcher must then work in conjunction with the Office of Regulatory Compliance to determine each recipient's eligibility under export control regulations. This determination must be made before the export-controlled item, code, or information is shared with the recipient. If the proposed recipient is eligible to receive the export-controlled information, the researcher must document the available license exclusion or license exception.

E. Recordkeeping Requirements

Export control regulations contain specific recordkeeping requirements. Departments or programs must retain copies of all export documentation, including financial records, shipping documentation, and appropriate certifications in their research project file for a period of five years from the date of the export, reexport, or controlled deemed export.

II Definitions

Export: Export means any of the following: 1) actual shipment of any covered goods or items; 2) the electronic or digital transmission of any covered goods, items or related goods or items; 3) any release or disclosure, including verbal disclosures or visual inspections, or any technology, software or technical data to any foreign national; or 4) actual use or application of covered technology on behalf of or for the benefit of any foreign entity or person anywhere.

Reexport: Reexport means an actual shipment or transmission of items subject to export regulations from one foreign country to another foreign country. For the purposes of the U.S. EAR, the export or reexport of items subject to the EAR that will transit through a country or countries to a new country, or are intended for reexport to the new country, are deemed to be exports to the new country.

Foreign Person: A foreign person is any foreign corporation, business association, partnership, trust, society or any other entity or group that is not incorporated or organized to do business in the U.S.; any international organization, foreign government and any agency or subdivision of foreign governments; and any person who is not a U.S. citizen, a lawful permanent resident of the U.S. or who does not have refugee or asylum status in the U.S.

Fundamental Research: Fundamental Research means basic or applied research in science and engineering performed or conducted at an accredited institution of higher learning in the United States where the resulting information is ordinarily published and shared broadly in the scientific community. Fundamental research is distinguished from research that results in information that is restricted for proprietary reasons or national security reasons (EAR) or pursuant to specific U.S. government access and dissemination controls (ITAR).

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