URI endorses the principles of open exchange of ideas and academic freedom and encourages collaborations with other researchers throughout the world. Nevertheless, URI faculty, staff and students must abide by all U.S. export compliance laws and regulations established to protect national security and promote U.S. commerce and foreign policy.
As Vice President for Research and Economic Development, I am responsible for ensuring URI’s compliance with U.S. export control laws and regulations. The Director of Research Security within the Office of Research Integrity had been designated as the “Empowered Official” who will serve as the primary point of contact for URI faculty and staff on export control issues and will have responsibility for managing the day-to-day implementation of the university’s export compliance program. URI’s export control policy is located here: https://web.uri.edu/policies/find/.
Primary export control regulations include the Export Administration Regulations (EAR) administered by the Department of Commerce covering most commercial and dual-use technologies, the International Traffic in Arms Regulations (ITAR) covering most military technologies administered by the Department of State and the Foreign Assets Control Regulations (FACR) administered by the Office of Foreign Assets Control (OFAC) of the Treasury Department.
Exemptions from Export Controls:
The most important exemption from export controls regulations for researchers is the Fundamental Research Exclusion (FRE). This principle states that research to be published or publicly disseminated is exempt from export control regulations. Educational materials for established courses identified in a university catalog are similarly exempt from export controls, therefore most undergraduate and many graduate courses are exempt from export control regulations.
Current Considerations:
- Certain URI research programs sponsored by U.S. government agencies are subject to strict export controls including research sponsored by the Department of Homeland Security and the Department of Defense. Export compliance concerns may arise if there are inadequate physical controls on laboratory security as well as inadequate controls on access to and/or use of research data. If uncertain, faculty and research staff may contact their program officer and/or the URI Export Control Officer (ECO) or URI Facility Security Officer for assistance.
- Much recent media attention has been made of inappropriate influence by foreign entities over federally funded research. NSF and NIH have indicated that failure to disclose foreign relationships and activities may jeopardize project funding and potentially cause ineligibility for future funding for a Principal Investigator (PI) or an institution. It is important for researchers and scholars to disclose their international relationships to determine if there are any potential conflicts of commitments, duplications of research, and/or diversion or disclosure of intellectual property or confidential information in the performance of their research.
- Programs with restrictions on release of information, including government classified programs, government programs involving “controlled unclassified information” or “for official use only” information and commercial programs with publication restrictions or proprietary information are all likely subject to export controls. In addition, laboratory equipment may be subject to export controls if so identified by the manufacturer or vendor. In all such cases, a Technology Control Plan (TCP) is needed to outline export compliance requirements as appropriate for the circumstances. Contact the URI ECO for assistance with a TCP.
- If your program has export compliance considerations, export control training is available via the Collaborative Institutional Training Initiative (CITI Program). The CITI export control training includes a variety of modules suitable for your role. See https://about.citiprogram.org/en/series/export-compliance-ec/ for more information.
The U.S. government continues its oversight and monitoring of export compliance at U.S. institutions of higher learning. Export control law or regulation breaches may have severe repercussions for URI and any individuals involved.
Contacts:
URI Vice President for Research: 401-874-4576
URI Director of Research Security/Empowered Official: 401-874-5467
URI FSO: Cort Burke 401 874-2865 cort_burke@uri.edu