University of Iowa Policy
University policy requires that all research conducted within the institution be consistent with all of the following objectives:
- The education of undergraduate, graduate, and postdoctoral students
- The advancement of knowledge through research and scholarship
- The preservation and dissemination of knowledge
- The advancement of the public welfare
University policy also requires that the purpose and results of any research conducted using institutional resources and facilities must be freely communicable.
Both of these policy statements support the fact that research conducted by the faculty, staff, and students of The University of Iowa is public domain fundamental research as that term is defined in National Security Decision Directive 189. As such, most University of Iowa research will be exempt from export controls. However, where export controls are applicable to our research activities, the University will require full compliance with the law.
The University of Iowa has developed a process to ensure that University research is conducted in compliance with export control regulations. This process involves:
- Conducting a thorough review of projects and contract provisions to determine whether and how a particular research projected is affected by export control regulations
- Managing export-controlled research to ensure that it is conducted in full compliance with the law
This process involves a cooperative effort between the Principal Investigator, the Division of Sponsored Programs, and the Office of the General Counsel. The role of each is described below.
The PI has the best understanding of his or her research and therefore the best information as to whether the particular technology, data, or information involved in that research is or may be covered by export control regulations. The PI is responsible for doing the following:
- The PI should carefully review the information on export controls provided on this web site. Additional training on export controls is provided by the Division of Sponsored Programs and is available to PIs, their departments, and their departmental administrators.
- Before beginning any research, the PI should determine whether any export control issues may be presented (see "What kinds of projects raise export controls questions" on Who Should Care and Why).
- If any such issues are identified, or if any question exists, the PI should contact the Division of Sponsored Programs firstname.lastname@example.org) for help with determining whether any export control restrictions may apply to the research.
- After work on the project has begun, the PI should notify the Division of Sponsored Programs (email@example.com) prior to implementing any changes that may give rise to the application of export controls, such as a change in the scope of work or the addition of new staff to the project.
- If any export control issues are identified at the contract or grant proposal stage by the staff in the Division of Sponsored Programs, the PI should cooperate fully with DSP to determine the application of export control regulations to the research.
- If it is determined that export controls apply to the project, the PI must adhere strictly to any applicable restrictions and cooperate fully with the University’s efforts to monitor compliance. For example, DSP will advise the PI if a Technology Control Plan (TCP) is required.
Division of Sponsored Programs
The University has designated the Director of the Division of Sponsored Programs, as the senior-level administrator responsible for oversight of its export control compliance activities. On behalf of the institution, the Director will also sign documentation relating to export-controlled materials, serve as the custodian of any required records, and serve as the point of contact for communications with regulatory agencies.
The Director has designated the following as the DSP staff members primarily responsible for working with PIs and their questions about the application of export controls to their research: Patricia Cone-Fisher (335-3582, firstname.lastname@example.org) and Loren LeClair (335-21200, email@example.com).
In addition, the Division of Sponsored Programs is responsible for the following with respect to export controls:
- DSP will work with PIs at the proposal stage to identify any export control issues presented by the proposed research and will assist the PI in determining whether export control regulations apply to the project.
- Appropriate DSP staff will review research agreements, including incoming CDAs and MTAs, for export control language and for terms or provisions that restrict access to or prohibit publication of research results, limit the participation of foreign nationals in the research, or otherwise render the fundamental research exclusion inapplicable.
- If such provisions cannot be eliminated through negotiation, and if it appears that no exclusions or exemptions from the export control regulations are applicable, DSP will consult with the PI to determine whether the technology or other material to be used in the research is included on the Commerce Control List or the US Munitions List. As part of this process, DSP uses these forms:
- Export Control Review Form
This form is used to determine the initial applicability of EAR/ITAR. The PI will be asked to complete this form in consultation with DSP and return it to that office.
- Certification on the Handling of Export-Controlled Information
The PI will be asked to sign this form attesting that s/he has knowledge of export control regulations and of the penalties associated with noncompliance.
- Export Control Review Form
- In consultation with the Office of the General Counsel, DSP will make a final determination as to whether export control regulations apply to the project and will provide written notice of that determination to the PI, the department chair, the dean, and the Vice President for Research. This notice will also outline any recommendations from DSP and/or the Office of the General Counsel for compliance measures to be implemented in the research.
- DSP, in conjunction with the Office of the General Counsel, will provide information and training on export control regulations to the University research community. For more information on these activities, contact the Division of Sponsored Programs (firstname.lastname@example.org).
Office of the General Counsel
The Office of the General Counsel serves as legal advisor to the University and will assist both the PI and the Division of Sponsored Programs with legal issues involving the application of export control regulations to University activities. The OGC staff attorney available for consultation on these issues is Deputy Counsel Adwin Hesseltine (335-2742 or email@example.com).
The Division of Sponsored Programs is currently scheduling educational sessions on export controls for researchers, research administrators, departments, and any other UI group interested in knowing more on this topic. Contact the Division of Sponsored Programs (firstname.lastname@example.org) to schedule a session.
Go to UI Employee Self Service, Learning and Development/My Training, and search for "Export Control." This will bring up the currently available ICON course "Export Control Training." To begin the export control training course, click on "Open Icon Course." Learn at your own speed. No pressure!