Export Control Procedures

Background

The following procedures outline how the University of Chicago (hereinafter referenced as “Chicago”) implements core processes of its export compliance program. These procedures are intended to inform Chicago’s faculty, staff, and all affected personnel on how to manage export controlled transactions. Contact information on who to seek for assistance is provided herein. For additional background on how the export regulations affect Chicago’s research activities in general, please see Frequently Asked Questions.

Export Control Oversight- Who Is Responsible?

Under the U.S. export control regulations, any individual or institution who is undertaking any export activity is responsible for properly complying with the regulations. Civil and criminal enforcement liability extends to both individual and institutional activity. Taking that into account, Chicago’s leadership is committed to supporting the institution’s export compliance program. Chicago’s Export Control Compliance Manager will serve as a key resource to perform the following functions, as supported by internal and external advisors:

• Determine whether an item being exported (hardware, software, materials, or technical data) requires an export license by virtue of its ITAR jurisdiction, EAR classification, end user status, or potential OFAC restriction   
• Assist campus departments in expanding the existing screening program of end users against the U.S. Government’s published Denied Parties/Restricted Entities Lists       
• Apply for export licenses and authorizations where required and advise supervising PIs and license recipients on how to comply with license conditions           
• Advise faculty members on travel-related export control requirements, conducting research abroad, and international collaborations   
• Oversee export control recordkeeping processes
• Conduct campus-wide export control training for faculty, administrators, and others requiring such training 
• Serve as the liaison between Chicago and any U.S. Government agency requesting documentation from Chicago, inquiring about a particular export transaction, or inquiring about any other matter which involves a regulatory matter

Jurisdiction and Classification

Chicago’s tangible items such as laboratory instruments and materials, as well as software and technical data need to be classified prior to exportation to determine which control requirements apply to the item; in certain cases, laboratory access by certain foreign nationals for whom particular items are restricted, may also apply.

JURISDICTION DETERMINATION

Chicago must ensure that all “defense articles” (equipment, materials, technical data and software that appear on the United States Munitions List) are properly identified and treated as such. The process of determining whether an item is controlled as a defense article under the USML is called “jurisdictional determination,” because it is a process of determining whether they are controlled under the jurisdiction of the Department of State’s Directorate of Defense Trade Controls (DDTC’s), International Traffic in Arms Regulations (ITAR). This process is fundamental to Chicago’s export compliance program, as an ITAR determination governs licensing and authorization requirements for access by foreign nationals1 in our laboratories2 , as well as transfers and exports out of the country. Hence, Chicago requires that no item (equipment, material, technical data, or software) can be exported by any means, including access by foreign nationals within the U.S., until jurisdictional determination is confirmed.

The requirement to determine whether an item, in fact, meets the definition of a defense article may be triggered at numerous phases of the research process, from the earliest concept design stages. Many activities and functions such as Procurement, Human Resources, and IT, among others, are directly affected by this requirement. Therefore, all personnel thus affected must be aware of the jurisdiction determination process as assisted by the Export Control Administrator and remain aware of all locations where such items are being used or stored.

Note: in the event a clear jurisdictional determination cannot be made from the facts at hand (i.e., there is an ambiguity as to whether the item may be alternatively controlled by the Department of Commerce as “dual use” or not controlled at all), Chicago will apply for a Commodity Jurisdiction (“CJ”) from DDTC. A CJ is a letter to DDTC requesting that the agency opine on the proper jurisdiction of an item, i.e. whether it is covered under the USML (and if so, underwhich Category) or falls under Commerce Department control. CJs are potentially complex documents that require significant preparation, the results of which can have significant implications for Chicago’s current and future endeavors.

USML CATEGORIZATION 

Once an item has been determined to fall under ITAR jurisdiction, its USML category must be identified. A defense article’s categorization has important implications for Chicago in terms of potential licensing requirements or export restrictions, so categorizations must be performed precisely. For example, an asterisk next to a category’s subparagraph denotes Significant Military Equipment (SME) which carries special licensing provisions and/or reporting.

ECCN CLASSIFICATION

Items which do not fall under ITAR jurisdiction are controlled by the Department of Commerce (DOC), Bureau of Industry and Security (BIS), under the Export Administration Regulations (EAR). These items require EAR classification prior to export.

EAR classification is the exercise of understanding where an item or technology falls in the Commerce Control List (CCL). The CCL describes “dual-use” items (those items that may be considered for commercial or military use.) A classification will determine whether an export license is required based on the destination of the item or technology. It is important to note that items purchased either “off-the-shelf” directly from a manufacturer, or by any other commercial means may be controlled under the EAR. Likewise, imported items (not withstanding foreign origin) could likewise be subject to EAR restrictions upon export out of the country.

Hence, Chicago requires proper export classification of EAR items to determine licensing requirements before any shipment or release is made. This also includes “deemed exports,” defined as access by foreign nationals under certain circumstances to controlled EAR data for development, production or use of an item, where such applications fall outside the normal fundamental research exclusion.

There are three ways to classify an item. Chicago may self-classify; use a classification provided by a manufacturer, if available/applicable; or seek a formal classification from BIS.

For self-classifications of items that are under the jurisdiction of BIS, the employee would locate an Export Classification Number (ECCN) on the CCL. The employee would first review categories 0 through 9 on the CCL which cover areas such as electronics, lasers, computers, sensors, aviation and marine applications, encryption, telecommunications, etc. Categories are then further divided into product groups A through E such as components, test equipment, materials, software, and technology. Once the category and product group have been determined, one may determine which ECCN heading and subheading will apply to the item by reviewing the characteristics of the item being classified. The ECCN will explain possible related export controls, possible license exceptions, and the reason for control. The reason for control in combination with the destination of the item will determine licensing requirements.

For assistance with Jurisdiction Determinations, ITAR Categorization, or EAR Classification, please contact Disrael Sanchez-Rodriguez, Export Control Compliance Manager at 773-702-8601 or dsanchezr@uchicago.edu.

End User Screening Against U.S. Government Watch Lists

This Section addresses required screening of export recipients and certain collaborative research partners against the U.S. Government’s published denied party/restricted entity watch lists.

The Departments of State, Treasury, and Commerce separately maintain published lists of known export violators. These lists are referred to collectively as the “denied parties lists.” Chicago must not enter into contracts, conduct business, exchange information, or otherwise participate, directly or indirectly, in any activities with any entity or person found on these lists. In order to comply with this requirement, Chicago employs the Visual Compliance software service for denied party screening.

If a match using the software is discovered pertaining to a person or entity appearing on any of the U.S. Government denied parties lists and a name or entity on Chicago transaction, the transaction must be stopped and evaluated in order to avoid export violations.

License Application and Management

This Section addresses how Chicago personnel apply for licenses/authorizations; what documentation is required; and what follow-up processes are necessary.

ITAR LICENSING

Items and activities controlled under the ITAR may require licensing or other authorization from the Directorate of Defense Trade Controls (DDTC). Unless otherwise authorized, ITAR items of any kind must not be exported without proper licensing or authorization from the Department of State. The specific type of license or authorization required depends on the type of export transaction subject to control; for example, temporary versus permanent export licenses. ITAR authorizations also include Technical Assistance Agreements (TAAs) and Manufacturing License Agreements (MLAs). 

Note: Each type of license requires its own specific set of data points that DDTC collects through its DTrade application process and associated documentation, such as Transmittal Letters. A Transmittal Letter describes the transaction in detail, including end use, end user profile, ultimate UNIVERSITY OF CHICAGO EXPORT CONTROL PROCEDURES 6 disposition of the item, etc. Therefore, data requirements are specific to the type of license/authorization being used. Before Chicago applies for an ITAR license, it must comply with all DDTC requirements pertaining to registration as an ITAR exporter, Empowered Official (EO) designation and DTRADE User status.

EAR LICENSING

Under the EAR, exports of controlled items that do not meet certain license exceptions require prior authorization (licensing) from the Bureau of Industry and Security (BIS), before export.

This requirement applies to outbound shipments of items or data; reexports of items or data; and export of a non-controlled item to a person or entity identified on one of the Government’s Denied Party/Restricted Entity lists. As with the ITAR, there are several different types of BIS licenses required (e.g., individual licenses, deemed export license, etc.) depending on the type of transaction. However, all license templates may be found in the BIS SNAP-R licensing system, which will specify the required range of data necessary to each application type. It is essential that Chicago capture all such data and verify its accuracy prior to submitting a license application package.

For assistance with ITAR and/or EAR licensing,please contact Disrael Sanchez-Rodriguez, Export Control Compliance Manager at 773-702-8601 or dsanchezr@uchicago.edu.

Information Technology (IT)

This Section addresses the process for protecting export controlled proprietary technical data and when these protections are required, including travel with clean laptops.

UChicago’s IT Services supports EAR and ITAR-driven access restrictions. While certain standard IT protocols will be adequate to address EAR and ITAR requirements, others (particularly with regard to unauthorized Foreign National access) will have to differentiate between ITAR and EAR controls. Typically, IT requirements will have to address, among other things, the following areas: laptop security, network security, back-up and storage applications, file access approval (including download and print permissions), and email protocols.

ITAR and EAR controlled technical data must be securely limited to approved access only. The Information Security Office must at all times maintain a secure data file approval process to prevent inadvertent access to controlled data.

For assistance with export control IT procedures, please contact Disrael Sanchez-Rodriguez, Export Control Compliance Manager at 773-702-8601 or dsanchezr@uchicago.edu.

Physical Security

This Section addresses the process for physically securing ITAR and other controlled items where applicable in Chicago’s research laboratories.

Within laboratories containing ITAR and EAR-controlled items (equipment, materials, software, and technical data), Chicago is required to maintain safeguards that prevent unauthorized physical and/or visual access to such items, depending on the applicable deemed export situation.

Depending on the particular control requirement, access restrictions may apply to Chicago personnel as well as to visitors (vendors, research collaborators, etc.). Where foreign national personnel are authorized by license to access controlled items, such personnel and their PIs/managers must be fully aware of the limits of such access as provided for in the license and/or its provisos.

For assistance with export control site/physical security procedures, please contact Disrael Sanchez-Rodriguez, Export Control Compliance Manager at 773-702-8601 or dsanchezr@uchicago.edu.

Technology Control Plans (TCPs)

This Section addresses the implementation of Technology Control Plans (TCP’s) as required to restrict laboratory access of certain items and data from foreign nationals for whom the item is controlled, and would otherwise require an export license to access.

Under certain circumstances such as the safeguarding of ITAR instruments or data that Chicago has not self-invented, or the receipt of proprietary information from a sponsor or collaborator that Chicago uses to pursue its fundamental research, it may be necessary to develop and implement a TCP to specifically safeguard and restrict access to these items.

The TCP is a documented set of procedures that generally includes but is not limited to the following areas: responsible parties for implementing the TCP; physical controls (laboratory security); IT controls (data file/computer access security); deemed export license requirements (as potentially applicable to foreign nationals who Chicago believes should have authorized access but for whom the items are otherwise restricted); protocols for sharing and transferring the items with other authorized parties outside the scope of Chicago’s laboratories; and any other requirements concerning screening, personnel authorization, labeling of items as controlled and time frame for which the TCP is applicable.

Note that in cases where a U.S. Government agency wishes to review a TCP as part of a licensing procedure or as part of an audit process, the PI and/or administrator in charge of implementing the TCP shall notify the Export Control Administrator of such a request so that appropriate oversight is in place.

Procurement

This section addresses the identification of export controlled laboratory instruments and materials in the procurement process, and communicating any control status of the item to the buyer or user on campus.

It is important that in those instances where Chicago purchases a controlled item or material for research purposes, such item be identified as such, and the controlled status communicated to the user on campus, for example the lab director or program administrator. This is particularly true where ITAR items are concerned, as foreign national access shall be restricted in addition to normal outbound export controls. Hence, it is Chicago’s procedure to require vendors of laboratory instruments to provide the ITAR Category number or EAR Export Control Commodity Number (ECCN) to the extent that either is applicable to the item procured. The request for such information shall be made a condition of the purchase order.

Once the vendor or supplier has identified a control status, this information shall be transmitted to the laboratory user or administrator, and noted for further disposition. URA shall likewise maintain a database of all such items so that access restrictions (ITAR) and outbound export of these items (ITAR or EAR) are appropriately flagged for potential licensing.

Where ITAR items are concerned, Chicago shall also screen those vendors from whom it is procuring the item against the U.S. Government watch-lists to ensure compliance with screening guidelines.

Licensed Software Programs

This section addresses the export control implications of licensing a software product that has been identified as “export controlled” by the software licensor or vendor.

Certain software products may be identified by the licensor or vendor as “export controlled.” In such cases and for purposes of understanding access implications for Chicago, it is necessary to determine whether the control notification is a general notification for purposes of alerting the user against exporting to OFAC-restricted countries, or whether a more specific control is applicable as may be the case with cryptographic functionality, or ITAR-governed software. Where the software is flagged for general purposes, it is no different than any other item which Chicago might, in turn, export: restrictions against exporting to the so-called “T4”3 countries apply under both OFAC and EAR regulations. Where, on the other hand, the item is more specifically controlled (e.g. due to cryptographic functionality or as an ITAR defense article),Chicago may be required to implement a Technology Control Plan (TCP) and evaluate the article for export licensing where outbound export is contemplated.

For assistance in making these determinations, please contact Disrael Sanchez-Rodriguez, Export Control Compliance Manager at 773-702-8601 or dsanchezr@uchicago.edu.

Biosafety

BIOLOGICAL MATERIALS

Risk management protocols also require that the transfer of biological materials by Chicago to another institution strictly adhere to Chicago’s protocols. In certain cases, such materials may also be export controlled under the EAR and in rare cases under the ITAR. As such, the exporter shall work directly with the Biosafety Officer and Export Control Administrator to determine whether export control requirements are being met, and what if any special arrangements (including export licensing, destination control statements, and end user agreements) shall be affected pursuant to such transfers. See also export control requirements contained within the IBC Protocol.

Sponsored Research

This Section addresses the export control process when reviewing proposals, contracts, grants and awards to ensure conformity with the Fundamental Research (EAR) and Public Domain (ITAR) Exclusions.

URA is responsible for determining whether an agreement, award or contract contains or triggers export control restrictions. In general, Chicago does not accept restrictions in its awards or contracts that would restrict Chicago faculty members, students and administrators who are not U.S. persons from access to research and research results which would otherwise remain unrestricted under the Fundamental Research Exclusion (FRE). However, exception to this policy may occur, requiring export control analysis. For example, ITAR content or tools associated with fundamental research trigger certain access restrictions. International collaborative research may also trigger limitations to the FRE.

Further, in certain cases, a sponsor’s intention with regard to export controls or the control implication of a particular clause or set of clauses may be ambiguous as to Chicago’s export control responsibilities. For example, this may occur with respect to “flow down” restrictions in a subcontract, or vague or open ended publication and/or citizenship limitations. In this case, where such ambiguities arise or assistance is required in negotiating out a particular clause, it is incumbent upon URA to resolve the matter prior to committing to the obligation or accepting its financial benefits. For any questions concerning applicable export controls under a particular agreement of contract, please contact URA.

Office of International Affairs: H1 Visa Certifications

This process addresses the I-129 certification process for H1Visa applicants who may have access to export controlled items.4 It also addresses the process for using the bona fide employee license exemption for allowing foreign national PI access to ITAR applications.

I-129 CERTIFICATION

As part of its I-129 H1 Visa Application process, the U.S. Immigration and Citizenship Service (USCIS) requires a certification as to whether the Beneficiary will require an export license to access export controlled technology or technical data during the course of his/her professional position. If a license is required, the Certification also requires the Petitioner to state that it will prevent access or disclosure through a control plan until a license is approved by the Department of Commerce or State. Note that in certain cases, the U.S. Government might not issue a license for particular sensitive control reasons.

As a result, in advance of the HI visa petition being submitted to USCIS, it is critical to evaluate whether access will require an export license; the likelihood of obtaining a license; or the need for an interim or permanent Technology Control Plan. Chicago must assess precisely what controlled technology or technical data it has or plans to have which could be accessed by an H1 employee. Toward this objective, HR in concert with the pertinent faculty members and administrators shall complete Chicago’s Form I-129 Export Control Certification Questionnaire and return the form to the Office of International Affairs during the recruitment process.

International Research and Collaboration Agreements

This section addresses the process for managing the export control requirements associated with international collaborations with potential international research partners.

Several export control requirements are applicable.

1. When drafting or planning to sign a Memorandum of Understanding (MOU) or Memorandum of Agreement (MOA) with a potential non-US research partner that does not directly fall under the auspices of URA, the faculty member planning to enter into such an Agreement must alert the Export Control Administrator so that any export control implications to the proposed Agreement can be evaluated in advance
2. Prior to signing such an Agreement, UChicago shall screen such entity and signatories against the U.S. Government’s watch lists to ensure that potential partners are not listed.
3. MOUs or MOAs may contemplate the exchange of export controlled items or data that drive the collaborative research. Because the export of such items or their receipt into UChicago’s laboratories potentially has export control implications, these implications must be identified at the earliest opportunity so that the parties can plan accordingly. In certain cases, where the research is predicated on the receipt of (or access to) an export controlled item that requires prior government approval through a license or authorization, it is important that the parties take this contingency into account either in the MOU/MOA process or in a subsequent writing. UChicago cannot bind itself to a contractual obligation without acknowledging the need to fulfill a regulatory condition without which the program cannot proceed as intended.
4. Subsequent amendments to the MOU/MOA must proceed according to the same evaluation process, to the extent they subsequently alter the terms of the initial MOU/MOA or where the parties/signatories change over time.
5. When the MOU/MOA contemplates concurrent or subsequent Non-Disclosure Agreements (NDAs) and/or the receipt of export controlled items or data, contact URA to determine the precise export control language that shall be inserted into the NDA. The purpose of this language will be to alert Chicago in advance of a party’s intention to provide export controlled items, so that Chicago can determine the correct handling and disposition of such items consistent with control requirements or, where appropriate, decline acceptance of these items.

See also the University of Chicago’s Office of Legal Counsel’s Memorandum on conducting research in China.

Technology Commercialization and Transfer

This section addresses the export control requirements associated with UChicago Tech’s Material Transfer Agreements.

Because the transfer of technology and/or materials pursuant to a Material Transfer Agreement (MTA) may trigger export control requirements, UChicagoTech shall work directly with the research compliance staff to proactively identify and resolve export control requirements associated with an MTA. Such requirements may be triggered when the activity contemplates an UNIVERSITY OF CHICAGO EXPORT CONTROL PROCEDURES 12 international transfer or is domestic within the U.S., but Chicago has knowledge that the item will be re-exported by the receiving party. As applicable to the transaction at hand, the Material Transfer Agreement shall take into account necessary export control provisions that include but are not limited to notification of export control status (ITAR or EAR) as well as general end use/user restrictions and applicable destination control statements.

Note that incoming NDAs (where Chicago is requested to sign another party’s confidentiality agreement covering the receipt of proprietary items or data) must likewise be reviewed and provisioned for export control purposes. As the potential modification of another party’s Confidentiality Agreement can take additional time, UChicago Tech shall be alerted as soon as possible to a pending Agreement so as to allow sufficient opportunity for timely evaluation.

Travel Abroad

This Section addresses the process for ensuring export control compliance when shipping or carrying tangible items associated with conferences, assignment, or conducting research abroad; transfer of technical data by laptop or other electronic means. See also the Office of Legal Counsel’s memorandum on conducting research in China.

Chicago personnel who intend to travel abroad for fieldwork, conferences, etc., must be familiar with whether these activities are subject to export controls under ITAR, EAR, and Office of Foreign Assets Controls (OFAC) regulations, to the extent that the scope of activity involves the transfer of technical data and/or any commodity.6 This includes possible transfer of proprietary data by laptop, jump drive, or other portable device. Destination concerns are applicable for countries sanctioned/embargoed under OFAC, and denied party screening requirements are applicable to research partners/collaborators, etc.

As to the so-called T4 countries subject to OFAC, the analysis must not only take into account the transfer of commodities and technical data, but in the case of Cuba, take into account the travel itself. In some cases, the research activity may trigger a restricted “service” to those countries. For purposes of conducting fundamental research abroad, shipping instruments used in field research or during the course of an inter-institutional collaboration may require obtaining an export license [http://beta-www.bis.doc.gov/index.php/licensing/commerce-control-listcla... and sufficient lead time should be taken into account in order to receive an export license/authorization as necessary.

Any travel-related questions related to export control should be directed to Disrael Sanchez-Rodriguez, Export Control Compliance Manager at 773-702-8601 or dsanchezr@uchicago.edu.

Shipping/Receiving

This Section addresses the process for shipping and receiving tangible items under export license/authorization; transmission of export data to freight forwarders; record keeping, and U.S. Customs compliance.

GENERAL SHIPPING AND RECEIVING 

Chicago requires that individuals responsible for shipping and/or receiving research materials must evaluate, for export control purposes, all items and associated documentation which are intended to be sent to foreign destinations.

The individual handling shipping and/or receiving is the final “gatekeeper” on all controlled outbound shipments from an anti-diversion standpoint. Therefore, it is critical that he or she understands the scope of the proposed export and has at its disposal all available information in the file (such as screening records and, where applicable, a copy of the export license) in which to make an independent judgment as to the compliance of the export. It is best practice for the individual shipping or receiving an item to double check the terms and condition of a license against the ship-to instructions associated with a proposed export.

Prior to shipping any item, all export documentation including appropriate references to classification, value, licensing where applicable, license conditions, quantity, consignee, Schedule B #, and numerous other data points must be incorporated into all shipping documentation, including Automated Export Statement (AES) filing.

Likewise, when Chicago receives items into inventory, certain regulatory requirements (Customs and export control control) must be anticipated. For example, when an ITAR item is imported, the item will need to be handled consistent with ITAR physical security access restrictions.

For export compliance related to the shipping/receiving function, please contact Disrael Sanchez-Rodriguez, Export Control Compliance Manager at 773-702-8601 or dsanchezr@uchicago.edu.

Record Keeping

This Section addresses the process for required record retention, as well as where and how records are maintained for five years.

Chicago must comply with regulatory requirements regarding export control-related recordkeeping. These records must be organized so as to be available when requested by U.S. governmental authorities. Records include printed and hard copy documents, as well as electronic records (including e-mail, e-mail attachments and other electronic files). All records must be retained for a minimum period of five (5) years from the date of export or from the date of license expiration, as per the requirements of ITAR Section 123.22 and EAR Section 762.6. In some cases, records will require restricted access where, for example, they contain controlled technical data as part of the transaction.

Campus Shipping/Receiving personnel shall be responsible for maintaining such records. URA shall likewise be responsible for maintaining all documentation it generates and/or participates in as part of its export control oversight function, including but not limited MOUs/MOAs, classification and jurisdiction determinations, license-related documentation, screening records, end user statements, sponsored research evaluations, U.S. government communications, etc.

OFAC Restrictions

This Section addresses the process for complying with OFAC’s embargoed country program effecting transactions with Cuba, Iran, Syria, and Sudan.

The Department of Treasury administers the Office of Foreign Assets Control (OFAC) regulations. These regulations outline the parameters of economic embargoes against various countries. When contemplating any activity involving an OFAC country, Chicago must ensure compliance with the applicable OFAC regulations for that country. OFAC regulations vary on a country-by-country basis, depending on the type of activity involved. For the import/export of certain items and services provided to beneficiaries in Iran, Cuba, Syria and Sudan, particular license rules apply. Note that collaborative research arrangements, that contemplate the transfer or receipt of tangible materials; the establishment of research facilities at institutions in these countries; field work being conducted in these countries; and the payment of any kind for service performed (even in support of fundamental research activity) can trigger these restrictions and require prior authorization.

BIS controls a number of items for “AT” (Anti-Terrorism) purposes, controls which apply in parallel with the OFAC regulations but are distinct controls. AT-controlled items on the CCL are specifically referenced for certain countries in relation to the Country Chart. Likewise, ITAR independently controls any export to Section 126.1 prohibited countries, which includes but does not directly correspond to the list of OFAC designated countries

Denied parties screening should always include the Specially Designated Nationals List (SDNL), comprised of individuals/entities which OFAC specifically restricts and associates with a licensing requirement. Hence, Procurement and Payment Services should be vigilant about screening direct foreign payees for this purpose.

For OFAC-related concerns and questions, please contact the Office of Legal Counsel.

Issue Reporting and Notification

This Section addresses the process for confidentially reporting suspected export control violations.

Chicago must make every effort to identify suspected or actual violations that occur in conjunction with its export activities. All known or suspected export compliance problems should be documented. Every instance of a suspected violation should be reviewed by the Export Control Compliance Manager. All export shipments and releases of technical data related to the UNIVERSITY OF CHICAGO EXPORT CONTROL PROCEDURES 15 suspected issue must be placed on hold until otherwise authorized. The Export Control Administrator shall escalate compliance issues to the Office of General Counsel as appropriate and consider Voluntary Disclosure to the relevant agency (agencies) as applicable.

Timeliness of reporting is a key issue, since export violations are evaluated not only in terms of their content, but also frequency of occurrence, and system-wide implication. Consideration should be given to how and when the Office of General Counsel authorizes an investigative process to ensure Attorney Client Privilege.

Export Control Training and Assessment

This Section addresses ongoing compliance training at Chicago and periodically assessing compliance procedures.

TRAINING

​In addition, export control training is available online via CITI if you click here. The U.S. Government’s export control authorities consider awareness training a key element of a compliance program, and it is Chicago’s intention to familiarize faculty and staff as comprehensively as possible on these requirements. In this regard, training logs should be maintained, reflecting the date of trainings given and attendees

Please contact Disrael Sanchez-Rodriguez, Export Control Compliance Manager at 773-702-8601 or dsanchezr@uchicago.edu to learn about the next scheduled Export Control Training or to arrange customized briefing sessions. 

EXPORT ASSESSMENT

Chicago’s Export Assessment program is designed to identify and address export compliance gaps and weaknesses. Chicago requires assessments on a priority basis, as determined by campus Deans and administrators. Where a compliance exposure is discovered, corrective action procedures shall be implemented and, depending on the particular circumstances, a Voluntary Disclosure Notification to the appropriate government agency shall be initiated.

Incubator and Spin-off Activity

This Section addresses so-called “Incubator” and similar spin-off companies that are initiated by Chicago faculty members, separate from Chicago-employed research and administration.

The use of Chicago’s laboratories and resources for any activity other than fundamental research could trigger export control requirements that Chicago would not otherwise be aware of or accept as part of its compliance risk. Hence, it is important that the directors and administrators of incubators or spin-off businesses and entities (who may in parallel hold teaching and research positions at Chicago) be aware that, per Chicago’s policy, all such proprietary activities must be performed separately from Chicago’s own and dedicated research laboratory space. This also includes proprietary consulting arrangements that faculty members may have.