Research Policies

IV-99.00(A)

UMB POLICY REGARDING U.S. EXPORT CONTROLS AND SANCTIONS LAWS

Research   |   Approved January 20, 2017


Responsible VP/AVP

Bruce Jarrell, MD, FACS


Revision History

Elevate and update existing Office of Research and Development policy to central library.


Policy Statement

I.          INTRODUCTION

U.S. law and regulations restrict the export, transfer, and disclosure of certain technical and scientific data, software, and tangible items. Sanctions and embargoes maintained by the U.S. restrict or prohibit activities, financial transactions, and other transactions with sanctioned individuals, organizations and countries. The reach of the regulations is broad. Certain transactions that might not be regarded as "exports" in other contexts may constitute an export subject to regulations and embargoes.

The University of Maryland, Baltimore ("UMB") is committed to compliance with applicable laws and regulations governing U.S. sanctions, embargoes, traffic in arms, and the export of goods, assets, technology and information. This policy is designed to promote compliance in transactions and collaborations with foreign persons (whether or not in the U.S.) and foreign organizations.

II.         APPLICABILITY

This Policy applies to all activities using UMB resources and/or conducted by UMB Personnel that may result in an export or other transaction with a foreign national, entity, or country which is subject to Export Controls and which requires an export license or other government approval.

This policy is designed to complement, but not supersede, other applicable federal, UMB, and other policies, including without limitation the University System of Maryland Policy on Classified and Proprietary Work (IV-2.20).

III.        DEFINITIONS

"Export Controls and Sanctions" means all applicable laws and regulations governing U.S. sanctions, embargoes, traffic in arms, and the export of goods, assets, technology and information. Export Controls and Sanctions include without limitation regulations under U.S. Department of Treasury, Office of Foreign Assets Control (OFAC, 31 CFR §§500-599); U.S. Department of Commerce Export Administration Regulations (EAR, 15 C.F.R. 730‐774); and U.S. Department of State International Traffic in Arms Regulations (ITAR, 22 CFR 120‐130).

"Export Officer" means a person who is responsible to oversee UMB compliance with Export Controls and Sanctions, and who is legally empowered in writing by the University to sign export license applications or other requests for approval on behalf of UMB.

"UMB Personnel" means all UMB employees, full‐time and part‐time, including student employees; students; consultants; visitors; and others using UMB resources.

IV.        POLICY           

UMB and its personnel must comply with applicable laws and regulations governing Export Controls and Sanctions. UMB Personnel must comply with the provisions of any license, conditions of any other government approval, policy or UMB‐directed certification, technology control plan, or procedure if an export, activity, or transaction is subject to Export Controls and Sanctions.

The UMB President or designee will appoint one or more Export Officers to oversee and manage UMB compliance with Export Controls and Sanctions. The Export Officer is authorized to sign applications for export licenses and other requests for government approval on behalf of UMB. The Export Officer has independent authority to: (i) inquire into any aspect of a proposed export; (ii) verify the legality of an export transaction and the accuracy of the information to be submitted; and (iii) approve or disapprove any license application or other request for approval. The Export Officer may act through designees, including personnel of the UMB Office of Research and Development.

To implement this Policy, the Export Officer will document and disseminate information on roles and responsibilities and procedures for identification, approval, and tracking of items or activities subject to Export Controls and Sanctions. Record‐keeping, awareness training, and procedures for self‐assessments will be addressed by the Export Officer.

V.         VIOLATIONS AND PENALTIES

Violation of Export Controls and Sanctions by UMB Personnel may subject the violator to remedial or disciplinary action by UMB for misconduct, including termination or dismissal. In addition, UMB and the UMB Personnel may be subject to civil and criminal penalties under applicable law.

VI.        RELATED POLICIES

IV‐2.20 Policy on Classified and Proprietary Work

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