Forms, Policies & Procedures

End Use Certification

From time to time University of Delaware researchers need to purchase equipment or research materials that have limitations on export to other countries. The limitation on export may be due to national security or anti-terrorism concerns, or it may be caused by sanctions to the manufacturer for previous violations of U.S. export regulations. If any of these conditions exist, manufacturer may require that the University of Delaware provide a written certification that the equipment/materials will either generally not be reexported from the U.S. or that any reexport will be in compliance with U.S. export regulations. It is important that University of Delaware purchasers of materials and equipment contact the University Export Compliance Officer (UECO) prior to signing End Use Certifications. The UECO will assist the purchaser in determining why the certification is required and in establishing appropriate controls on the equipment/materials to ensure compliance with the certification requirements.

The UECO may be contacted by calling the Research Office or by email to overbyc@udel.edu.

Export Controls and Trade Sanctions

1. POLICY

   The University shall comply with EC&TS regulations governing applicable Sponsored Projects, as provided in the University of Delaware Export Compliance Program Manual. By delegation from the Provost, the Deputy Provost for Research & Scholarship serves as the final authority in any dispute resolution, and designates the Associate Deputy Provost for Research & Regulatory Affairs the EO.

   1. The EO is responsible for EC&TS policies and procedures and will oversee the EC&TS compliance program including the signing of Technology Control Plans (TCPs) (which prescribe required training and handling), license and disclosure requests, auditing of controlled Sponsored Projects and reporting of any EC&TS violations to the appropriate agencies.
   2. The EO develops appropriate procedures and is responsible for implementing and maintaining EC&TS compliance procedures including TCP management, auditing and documentation.
2. SCOPE OF POLICY
   This policy addresses the requirements to ensure compliance with U.S. Export Control and Trade Sanctions (“EC&TS”) regulations governing research at the University of Delaware (“UD” or “University”) and applies to all University departments, units, faculty, staff and students.

Related Links

• Export Controls and Trade Sanctions Memo PDF
• Export Regulations Web Policy
• Export Regulations for Online Courses Web Policy

The complete policy and more can be found on the General Counsel’s web site.

Export Controls and Trade Sanctions Memo

MEMO

While federal regulations restricting the export of goods and technologies related to national security interests have been in existence for decades, these regulations have become more restrictive and enforcement has become increasingly rigorous in the years following the events of September 11, 2001. The purpose of this memo is to remind the University community that the University of Delaware must comply with all U.S. government export control regulations. While the vast majority of the work carried out on our campuses falls within the several exemptions to export licensing requirements, it is nonetheless necessary for researchers to be aware of how these laws may apply to their activities.

It is important to recognize that the U.S. Government defines exports to include not only tangible or “physical” items such as biological materials, chemicals, and equipment, but also intangible information, which may include research data and ideas. Furthermore, an export is defined not only as the actual physical shipment, but also includes electronic and voice transmissions out of the United States (e.g., email to colleagues at foreign institutions or even a phone call) as well as the release of technology to foreign nationals within the U.S. These exports are controlled by multiple federal agencies including the Department of State, the Department of Commerce, and the Department of the Treasury. Violation of the export control regulations can result in significant institutional and personal penalties including fines of up to $1,000,000 per violation, incarceration for up to 10 years, and loss of future exporting privileges.

The University of Delaware remains committed to the preservation of academic freedom. Fortunately most, but not all, research activities on campus fall under the “fundamental research exemption,” which provides that basic research activities NOT subject to publication or access restrictions will not be subject to export controls. Other exemptions apply to technology and information shared in the conduct of teaching activities on campus and to information already generally publicly available. However, the export regulations are complex and continually changing, and it is important to consider each activity on an individual basis.

The Research Office will be happy to assist members of the university community with export control compliance. Please contact Dr. Cordell Overby, Associate Deputy Provost for Research and Regulatory Affairs (overbyc@udel.edu), if you need help in assessing the impact of the regulations on your activities or to schedule training on this important issue.

Related Links

• Export Controls and Trade Sanctions Web Policy
• Export Regulations Web Policy
• Export Regulations for Online Courses Web Policy

Export Regulations

University research is subject to U.S. Export Control laws that protect national security and trade, including the International Traffic in Arms Regulations (ITAR), implemented by the U.S. Department of State, and the Export Administration Regulations (EAR), and the Commerce Control List (CCL) implemented by the U.S. Department of Commerce. The Office of Foreign Asset Control (OFAC), which is part of the U.S. Department of the Treasury, also is responsible for administering and enforcing economic and trade sanctions against certain nations, entities, and individuals.

These regulations control the export of strategic information, technology, and services to foreign countries as well as to foreign nationals inside the United States. Temporary export of controlled items, including laptop computers with controlled technologies, such as encryption software or technical project data also falls under the regulations. Failure to comply with these laws can result in serious consequences, including penalties of up to $1 million in fines and up to 10 years in prison per violation.

It is important for members of the University of Delaware research community to be aware of the University of Delaware Policy on Export Controls (Research Policy 6-17). Additionally, the following tools are available to help researchers become more aware of the issues surrounding Export Controls and to assist them in determining when the regulations are applicable:

• The Memo on Export Controls and Trade Sanctions gives general information about the Export Control regulations as they apply to the academic research community
• The Travel with or Transportation of Research- Related materials and Data Memo explains the issues and steps for compliance when traveling.
  Note: University personnel traveling to OFAC sanctioned/embargoed countries, which at the time of this writing include Cuba, Iran, North Korea, Syria, and Sudan, should contact the Research Office – Associate Deputy Provost for Research and Regulatory Affairs, Cordell Overby, overbyc@udel.edu , or University Research Counsel Sean Hayes, hayes@udel.edu – for guidance prior to travel. UD personnel should travel with a “clean” laptop that contains software and data that are not export controlled. In this way, previously utilized and generated export controlled software and unpublished research data will remain at home or work and therefore are neither exported nor deemed-exported.
• The Export Control Decision Tree may be used to help determine if projects are subject to the Export Control Regulations and how to obtain further project-specific information to make sure the work remains in compliance with the laws.
• Our Export Control FAQ ‘s provide basic information to help you understand the Export Control regulations and how they might apply to you.

The Research Office will work with individual researchers to make all necessary checks of the ITAR, EAR, and OFAC regulations to determine when licensing is necessary for shipment or disclosure to foreign countries or nationals. Please contact Dr. Cordell Overby, Associate Deputy Provost for Research and Regulatory Affairs (overbyc@udel.edu) for assistance.

Related Links

• Export Controls and Trade Sanctions Web Policy
• Export Controls and Trade Sanctions Memo PDF
• Export Regulations for Online Courses Web Policy

Export Regulations for Online Courses

Online Courses

Export controls and trade sanctions must be considered and, unless specifically excluded, applied to online courses. As is generally the case with universities, UD online courses possibly may be excluded from export control and trade sanction regulations.

• Per EAR regulations, information and software that “are released by instruction in a catalog course or associated teaching laboratory of an academic institution” are not subject to the EAR. 15 CFR 734.3(b)(3)(iii). Please note that some encryption technology is excluded from this EAR exclusion.
• Per ITAR regulations, the definition of Technical Data subject to ITAR “does not include information concerning general scientific, mathematical or engineering principles commonly taught in schools, colleges and universities.” 22 CFR 120.10(b).2
• OFAC legislation provides in 50 USC 1702(b)(3):
  (b) The authority granted to the President by this section does not include the authority to regulate or prohibit, directly or indirectly—
  (3) the importation from any country, or the exportation to any country, whether commercial or otherwise, regardless of format or medium of transmission, of any information or informational materials, including but not limited to, publications, films, posters, phonograph records, photographs, microfilms, microfiche, tapes, compact disks, CD ROMs, artworks and news wire feeds.

  UD courses generally may be classified as “information and informational materials.” The online presentation does not alter this characterization. Therefore, pursuant to the OFAC legislation cited above, online courses typically are not OFAC-prohibited.

• Exclusions do not apply to all subject matter that may be presented in online courses. The provision of principles not commonly taught in schools, colleges and universities, defense services, ITAR technical data, encryption technology and nuclear technology may not be excluded from control. Online-course instructors of such topics shall complete the export control training found at: http://www1.udel.edu/research/swf/UD-export-controls-training/
• Online courses cannot be taught to students from OFAC-sanctioned countries without a license. Currently comprehensive or selective sanctioned countries include the Balkans, Belarus, Burunda, Central African Republic, Cuba, Democratic Republic of Congo, Iran, Iraq, Lebanon, Libya, North Korea, Somalia, Sudan and Darfur, Syria, Ukraine/Russia, Venezuela, Yemen and Zimbabwe. The list of sanctioned countries is updated periodically – https://www.treasury.gov/resource-center/sanctions/Programs/Pages/Programs.aspx.

Guidance for Foreign On-Line Education

*This column refers to foreign nationals of the identified nationality participating in on-line education in that country.
Sanctioned countries include the Balkans, Belarus, Burunda, Central African Republic, Cuba, Democratic Republic of Congo, Iran, Iraq, Lebanon, Libya, North Korea, Somalia, Sudan and Darfur, Syria, Ukraine/Russia, Venezuela, Yemen, and Zimbabwe. The list of sanctioned countries is updated periodically – https://www.treasury.gov/resource-center/sanctions/Programs/Pages/Programs.aspx.

Questions regarding UD online course compliance with export controls and trade sanctions should be directed to UDresearch@udel.edu.

Related Links

• Export Controls and Trade Sanctions Web Policy
• Export Controls and Trade Sanctions Memo PDF
• Export Regulations Web Policy

Gifts Used for Research-Related Purposes

Gifts to the University of Delaware (UD) that are to be used for research-related (RR) investigations and/or activities should be directed to the Research Office (RO) for evaluation, and for possible oversight, to help ensure that gift usages will be compliant with U.S. export control and trade sanctions (EC&TS). All UD research-related investigations and/or activities, including those using resources originating from gifts to UD, must be performed consistent with OFAC, ITAR and EAR requirements.

Researchers conducting RR investigations and/or activities using items of value acquired from gifts to the University (both monetary and research-related non-monetary) shall 1) have their planned RR investigation and/or activity evaluated by the RO for EC&TS compliance, and 2) if the RO deems it necessary, obtain a written statement of support/approval from the associated department’s chair and associated college’s dean for the planned RR investigation and/or activity.

After receipt of the associated department and associated college support/approval statement, final UD support/approval for the planned investigation and/or activity will be determined by the UD Vice President for Research, Scholarship & Innovation and the UD Provost.

As with all UD research-related investigations and/or activities, the University may determine that institutional EC&TS compliance requires written institutional-oversight plans or export-licenses. All research-related uses of resources stemming from gifts to UD are evaluated by the RO on a case-by-case basis.

Questions regarding gifts to UD to be used for research-related investigations and/or activities should be submitted to udresearch@udel.edu.

Related Links

• Gifts for Research-Related Investigation/Activity (RRI/A) Flowchart (pdf)
• Gift Use Plan Approval Form (pdf)
• International Agreements Involving Item of Value (doc)

Travel with or Transportation of Research-Related Materials and Data

The purpose of this memo isto remind and inform all University of Delaware employees of the laws, policies and procedures that may impact the transportation of University of Delaware property, including research-related materials,software, data,biological materials and equipment. These laws,policies and procedures apply whether the materials, software or data are hand-carried during travel or shipped commercially. The laws,policies and procedures apply to our international visitors as well. Please help them to be aware of the following regulations.

Although the University of Delaware is working to keep compliance on this matter from becoming onerous, candid assessment of the current situation must acknowledge that scholars are increasingly subject to external constraints that can be both unfamiliar and frustrating. As our policies and procedures evolve in light of external constraints and faculty and staff needs, we will work to keep you apprised of changes as quickly as possible. Listed below are some key concepts with which every University of Delaware employee should be aware and in full compliance.

1. Not all research material may be shipped or hand-carried by air. The Transportation Security Administration (TSA) has rules that limit what airline passengers can place into their checked and carry-on luggage. These rules may prevent research materials and equipment from being brought onto airplanes. Please review the list of permitted and prohibited items posted on the TSA web page found at (https://www.tsa.gov). This list issubject to change and should be checked on a regular basis.
2. A Material Transfer Agreement (MTA) should be used when University of Delaware research materials,software,biological materials or data sets are received from an outside party or transferred off campus. Similarly an MTA should be used when transferring such materials from the University of Delaware to outside parties.
   • When the University of Delaware is the recipient of the materials, the MTA triggers appropriate health and safety alerts to the Occupational Health and Safety Office concerning the materials received.
   • When the University of Delaware issending materials off campus,the MTA permits review of applicable shipping regulations.
   • An MTA permits review of intellectual property rights to protect the interests of the University of Delaware and individual University of Delaware researchers.

     Appropriate MTA forms are available on the University of Delaware Research Office website (https://research.udel.edu/forms-policies-procedures/).

3. All transfers of research materials,software or data must comply with export control and trade sanction regulations. Export controls are federal laws that regulate the export of sensitive technologies, equipment, software, biological agents and related data and services. These laws require the use of licenses for the export of these items unless an exemption exists. Trade sanctions are imposed by the Department of State, which may prohibit travel, payment or providing anything of value to sanctioned entities, including countries, businesses, and individuals, regardless of exemptions.Information and guidance on export control and trade sanction compliance is available at https://research.udel.edu/regulatory-affairs/#3. If you have questions about your activity, please contact the Associate Deputy Provost for Research & Regulatory Affairs, Dr. Cordell Overby, at overbyc@udel.edu.
4. Commercial shipment of hazardous materials must comply with U.S.Department of Transportation regulations. For specific requirements, please contact Occupational Health and Safety.
5. Federal law and regulation by the USDA,FDA,or EPA can severely limit the interstate shipment of certain biological,recombinant,or toxic materials.
6. The U.S.Foreign trade Regulations require that all exports (temporary or permanent) with a dollar value greater than $2,500 as well as any licensed export be registered in the AES export system prior to shipment. The AES (Automated Export System) filing includesinformation about the date, method and destination of the export and licensing exception or authority if applicable. The U.S. Census Bureau uses the data to compile export trade statistics. Additionally the information is shared with Customs and Border Patrol, export licensing enforcement and other law enforcement agencies.
7. The University of Delaware provides compliance assistance to facilitate your transfer and transport of research materials,software and data.
   • Information on export controls and trade sanctions, including international travel: Dr. Cordell Overby (overbyc@udel.edu or 302-831-2383)
   • MTAs for research related transfers: Dr. Cordell Overby (overbyc@udel.edu or 302-831-2383)
   • Shipping and receiving of hazardous materials: OccupationalHealth and Safety Office {302-831-8475)
   • Biological Materials: Krista Murray (klmurray@udel.edu )
   • Chemical Materials: Jane Frank (janejf@udel.edu or 302-831-8288 )
   • Radioactive Materials: Bill Fendt (B_Fendt@facilities.udel.edu )

We welcome your comments regarding clarifications or improvements to the University of Delaware policies and procedures regarding the transfer or transport of University of Delaware research materials, software, data, biological materials, or equipment. Please feel free to contact any of the following individuals:

Dr. Cordell Overby at overbyc@udel.edu

It is important that all University of Delaware employees are aware of these laws, policies and procedures. Please distribute this message to your colleagues across campus.

The complete policy and more can be found on the UD Research Office’s web site.

University Procedure for International Travel with Electronic Devices

The purpose of this memorandum is to remind and inform University of Delaware (UD) employees of the states-of-nature and UD expectations that exist when traveling internationally with mobile devices, laptop computers, personal-digital assistants (PDAs) and other electronic devices.

Consistent with the guidelines offered by the Office of the Director of National Intelligence, U.S. National Counterintelligence & Security Center (NC&SC) (https://www.dni.gov/index.php/ncsc-home), University personnel who are traveling internationally should be aware that:

1. In most countries, travelers should have no expectation of privacy in internet cafes, hotels, offices or public places. Hotel business centers and telephone networks are regularly monitored in many countries. In some countries, hotel rooms are often searched.
2. All information that you send electronically by FAX machine, PDA, computer or telephone can be intercepted. Wireless devices are especially vulnerable.
3. Your movements can be tracked using your mobile telephone or PDA, and the microphone in your device can be turned on even when you think that it is turned off. To prevent this, remove the battery.
4. Malicious software can be inserted into your electronic device through connections you use. This can also be done if your device is enabled for wireless. When you connect to your home server, the malware can migrate to your home system and/or the University, can inventory your system, and can send information back to the individuals who inserted the software.
5. Malware can be transferred to your device through thumb drives (Universal-Serial Bus (USB) sticks), computer disks … some of which you may have been given as “gifts”.
6. Transmitting sensitive information from abroad is risky
7. While corporate or government officials may be most at risk, it incorrect to assume that you will not be targeted.
8. Intruders are skilled at posing as someone you trust in order to obtain personal or sensitive information (i.e., phishing).
9. If customs officials demand to examine your device, or if your hotel room is searched while your device is unattended in the room, you should assume your device has been compromised.

To mitigate these threats, again consistent with NC&SC guidelines, when traveling internationally, University personnel should:

1. Take only necessary devices.
2. Take only needed information, including sensitive contact information. Consider the consequences if your information were stolen or otherwise compromised.
3. Back up all information you take, and leave the backed-up information at home.
4. If feasible, use a different mobile telephone or PDA from your usual one, and remove the battery when not in use. Have your device examined by your UD information technology (IT) support-personnel when you return.
5. Monitor official cyber security alerts from https://www.consumer.ftc.gov/features/feature-0038-onguardonline.
   1. Creating a strong password (numbers, upper and lower case letters, special characters – at least eight characters long). Never storing passwords, telephone numbers, or sign-on sequences on any device or in its case.
   2. Changing passwords at regular intervals, and as soon as you return.
   3. Downloading current, up-to-date antivirus protection, spyware protection, operating system security patches, and a personal firewall.
   4. Encrypting all sensitive information on a device. (Note that in some countries, customs officials may not permit you to enter with encrypted information.)
   5. Updating your web browser with strict security settings.
   6. Disabling infrared ports and features you don’t need.

While travelling internationally, you should:

1. 1. Avoid transporting devices in checked baggage.
   2. Use a digital signature and encryption when possible.
   3. Don’t leave your electronic devices unattended. If you stow a device, remove the battery and subscriber-identity module (SIM) card, and keep them with you.
   4. Don’t use thumb drives given to you – they may be compromised. Similarly, don’t use your own thumb drive in a foreign computer. If you must do either, assume your device has been compromised, and have it cleaned as soon as possible.
   5. Shield passwords from view. Don’t use the “remember me” feature that is found on many websites … retype the password every time.
   6. Be aware of who is looking at your screen, especially in public places.
   7. Terminate connections when you are not using them.
   8. Clear your browser after each use, delete history files, caches, cookies, URL and temporary internet file.
   9. Do not open emails or attachments from unknown sources. Don’t click on links in emails. Empty your “trash” and “recent” folders after every use.
   10. Avoid Wi-Fi networks. They are insecure, and maybe controlled.
   11. If your device or information is stolen, report it immediately to UD and the local US embassy or consulate.

Upon your return from international travel, you should:

1. 1. 1. Change your password.
      2. Have your UD IT support-personnel examine your device for the presence of malicious software, if you suspect that it may have been compromised.

If you have questions, contact the Research Office at UDResearch@udel.edu or (302) 831- 2383. Additional information regarding “Travel Best Practices for Both Domestic & Abroad” is provided by UD Information Technologies at https://www.udel.edu/it/security/bestpractices/travel.html.

The complete policy and more can be found on the ’s web site.

USCIS I-129 Export Control Certification Requirement

Recent changes to the United States Citizenship and Immigration Services (USCIS) regulations require the use of the new I‐129 petition form. The University of Delaware must certify whether or not the foreign person will be performing work that is subject to the U.S. Department of State (ITAR) or U.S. Department of Commerce (EAR) export regulations and if export licensing will be required for the work. It is important to note that the release of controlled technology or technical data to aforeign person in the United States is a “deemed export” and subject to the relevant export regulations. While most of the research conducted by foreign nationals at the University of Delaware qualifies as “fundamental research” (is performed without restrictions on publication or on who may participate), it is important to understand the specific terms of the contract or grant on which foreign national employees are working, as well as the nature of the research in order to correctly complete the new I‐129 form. The Office for International Students and Scholars will continue to manage the filing of I‐ 129 forms at the University of Delaware. A new “Export Control for Certification on I‐129 Form” has been instituted. This form must be submitted with other supporting documentation in order for the Office of International Students and Scholars to complete the I‐129 for potential employees. Additionally, if a foreign national employee’s source of funding changes, a new certification form is required so that the University of Delaware may appropriately amend the I‐129 filing.

The Research Office is available to answer questions and provide training on the U.S. export control regulations. Please contact the Associate Vice President for Research, Dr. Cordell Overby at overbyc@udel.edu.

The Office for International Students and Scholars is available to assist with questions about hiring foreign nationals. Please contact Younes Haboussi, Coordinator of Immigration Services at younesh@udel.edu.

The complete policy and more can be found on the ’s web site.