Forms, Policies and Procedures

 

Here you will find a repository of forms, policies and procedures related to research at the University of Delaware. This repository draws on sources throughout campus to provide quick and easy access to these resources in a variety of formats, such as html, MSWord and Adobe PDF. We encourage you to explore and use the tools provided to narrow your search by word, resource type or category in order to learn more about the content that governs research at UD.

Forms, Policies and Procedures (6 Procedures Entries)
Procedure: Export Regulations (ITAR/EAR/OFAC)
Export Compliance Program Manual
Procedure

Export Compliance Program Manual

Given the complicated nature of exportation, this procedure has been created to assist in ensuring that any exportations of your research are in compliance with the standards of the United States and any other nations involved. Please review the material carefully and if there are any questions, please refer to the Regulatory Affairs page.

PROCEDURE STATEMENT:

The U.S. export control system generally requires export licensing for defense items, for items that have both commercial and military applications, and for exports to sanctioned persons and destinations. U.S. national security, economic interests and foreign policy shape the U.S.export control regime. The export laws and regulations aim at achieving various objectives, such as preventing the proliferation of weapons of mass destruction, advancing the U.S. economic interests at home and abroad, aiding regional stability, implementing anti-terrorism and crime controls, and protecting human rights.

These controls generally restrict the export of products and services based on the type of product and the destination of the export. In both the defense and high-technology sectors, the U.S. government tightly regulates the export not only of equipment and components, but also of technology. Technology includes technical data, such as blueprints and manuals, as well as design services (including the transfer of “knowledge”) and training. U.S. laws assert jurisdiction over U.S.-origin equipment and technology even after it is exported (i.e., restricting the re-export or retransfer to third parties). In addition to general export licensing, the United States maintains economic embargoes against a number of countries whose governments consistently violate human rights or act in support of global terrorism. Such embargoes bar most transactions by U.S. persons with these countries. Finally, the U.S. government maintains lists of Specially Designated Nationals or persons and entities that are barred from conducting export business because of previous activities.

Three principal agencies regulate exports from the United States: the U.S. Department of State Directorate of Defense Trade Controls (“DDTC”) administers export control of defense exports; the U.S. Department of Commerce Bureau of Industry and Security (“BIS”) administers export control of so-called “dual-use” technology exports; and the U.S. Department of the Treasury Office of Foreign Assets Control (“OFAC”) administers exports to embargoed countries and specially designated entities.

DEFINITIONS:

APRRA– Associate Provost for Research & Regulatory Affairs
BIS– Department of Commerce Bureau of Industry and Security
CCL– Commerce Control List
CJ– Commodity Jurisdiction
DDTC– Department of State Directorate of Defense Trade Controls
EAR– Export Administration Regulations
ECCN– Export Control Classification Number
EO– Empowered Official
URC– University Research Counsel
ITAR– International Traffic in Arms Regulations
OFAC– Department of the Treasury Office of Foreign Assets Control
RO– Research Office
PI– Principal Investigator
SDN– List Specially Designated Nationals and Blocked Persons List
TCP– Technology Control Plan
USML– United States Munitions List
UD– University of Delaware

 

Procedure Details:

OWNER: Research Office

RESPONSIBLE OFFICE: Research Office

Procedure Source Open Procedure



Procedure: Export Regulations (ITAR/EAR/OFAC)
Is your UD project in Compliance with Export Controls
Procedure

Is your UD project in Compliance with Export Controls

Given the complicated nature of exportation, this procedure has been created to assist in ensuring that any exportations of your research are in compliance with the standards of the United States and any other nations involved. Please review the material carefully and if there are any questions, please refer to the Regulatory Affairs page.

The attached PDF is a flowchart determining whether or not a project needs to be advised upon in terms of its compliance.

 

Procedure Details:

OWNER: Research Office

RESPONSIBLE OFFICE: Research Office

Procedure Source Open Procedure



Procedure: Export Regulations (ITAR/EAR/OFAC)
Office of Foreign Asset Control
Procedure

Office of Foreign Asset Control

Given the complicated nature of exportation, this procedure has been created to assist in ensuring that any exportations of your research are in compliance with the standards of the United States and any other nations involved. Please review the material carefully and if there are any questions, please refer to the Regulatory Affairs page.

PROCEDURE STATEMENT:

The Office of Foreign Assets Control (OFAC) of the U.S. Department of the Treasury administers and enforces economic and trade sanctions based on U.S. foreign policy and national security goals against targeted foreign countries and regimes, terrorists, international narcotics traffickers, those engaged in activities related to the proliferation of weapons of mass destruction, and other threats to the national security, foreign policy or economy of the United States. OFAC acts under Presidential national emergency powers, as well as authority granted by specific legislation, to impose controls on transactions and freeze assets under U.S. jurisdiction. Many of the sanctions are based on United Nations and other international mandates, are multilateral in scope and involve close cooperation with allied governments.

 

Procedure Details:

OWNER: US Treasury Office

RESPONSIBLE OFFICE: Research Office

Procedure Source Open Procedure



Procedure: Export Regulations (ITAR/EAR/OFAC)
Specially Designated Nationals And Blocked Persons List (SDN)
Procedure

Specially Designated Nationals And Blocked Persons List (SDN)

Given the complicated nature of exportation, this procedure has been created to assist in ensuring that any exportations of your research are in compliance with the standards of the United States and any other nations involved. Please review the material carefully and if there are any questions, please refer to the Regulatory Affairs page.

PROCEDURE STATEMENT:

​As part of its enforcement efforts, OFAC publishes a list of individuals and companies owned or controlled by, or acting for or on behalf of, targeted countries. It also lists individuals, groups, and entities, such as terrorists and narcotics traffickers designated under programs that are not country-specific. Collectively, such individuals and companies are called “Specially Designated Nationals” or “SDNs.” Their assets are blocked and U.S. persons are generally prohibited from dealing with them. Click here for more information on Treasury’s Sanctions Programs.

 

Procedure Details:

OWNER: US Treasury Office

RESPONSIBLE OFFICE: Research Office

Procedure Source Open Procedure



Procedure: Export Regulations (ITAR/EAR/OFAC)
The International Traffic in Arms Regulations (ITAR)
Procedure

The International Traffic in Arms Regulations (ITAR)

Given the complicated nature of exportation, this procedure has been created to assist in ensuring that any exportations of your research are in compliance with the standards of the United States and any other nations involved. Please review the material carefully and if there are any questions, please refer to the Regulatory Affairs page.

PROCEDURE STATEMENT:

The Department of State is responsible for the export and temporary import of defense articles and services governed by 22 U.S.C. 2778 of the Arms Export Control Act (“AECA”; see the AECA Web page) and Executive Order 13637. The International Traffic in Arms Regulations (“ITAR,” 22 CFR 120-130) implements the AECA. The ITAR is available from the Government Printing Office (GPO) as an annual hardcopy or e-document publication as part of the Code of Federal Regulations (CFR) and as an updated e-document.

 

Procedure Details:

OWNER: Department of State

RESPONSIBLE OFFICE: Research Office

Procedure Source Open Procedure



Procedure: Export Regulations (ITAR/EAR/OFAC)
US Bureau of Industry and Security – Export Administration Regulations (EAR)
Procedure

US Bureau of Industry and Security – Export Administration Regulations (EAR)

Given the complicated nature of exportation, this procedure has been created to assist in ensuring that any exportations of your research are in compliance with the standards of the United States and any other nations involved. Please review the material carefully and if there are any questions, please refer to the Regulatory Affairs page.

These are the unofficial electronic EAR files created by BIS. The legally official text of the EAR is provided via the Federal Register publications. Incorporation of revisions pursuant to Federal Register regulatory publications are completed by BIS within 72 hours to the best of our abilities. While we strive for perfection, we do make mistakes from time to time. You may email any errors that you find.

 

Procedure Details:

OWNER: US Bureau of Industry and Security

RESPONSIBLE OFFICE: Research Office

Procedure Source Open Procedure



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Animal Subjects in Research

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Conflict of Interest
Contracts and Grant Management
Effort Certification
Export Regulations (ITAR/EAR/OFAC)
Human Subjects in Research
Intellectual Property
Internal Funding
Material Transfer
Reporting Misconduct
Research Agreement Templates
ASSISTANCE

Compliance Hotline
Phone: (302) 831-2792

UD Research Office
Phone: (302) 831-2136
Fax: (302) 831-2828

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