University System of New Hampshire

U. Compliance with Federal Export Control Regulations

(Note: OLPM sections on this page may be cited following the format of, for example, "UNH.VIII.T.1.1". These policies may be amended at any time, do not constitute an employment contract, and are provided here only for ease of reference and without any warranty of accuracy. See OLPM Main Menu for details.)

1.   Preamble

1.1   The University of New Hampshire (UNH) recognizes its legal responsibilities to comply with pertinent regulations regarding the use, release, and exporting of export-controlled technical data, information, materials, and equipment in all activities conducted under the auspices of UNH, including outreach, scholarly, research, and teaching activities. Accordingly, UNH maintains this policy and underlying procedures. UNH strives to ensure that all members of its community – whether staff, faculty, students, consultants, subcontractors or visitors – understand and adhere to this policy.

1.2   UNH developed this policy to comply with federal export regulations, including but not limited to the International Traffic in Arms Regulations (ITAR), the Export Administration Regulations (EAR), and the Office of Foreign Assets Control (OFAC) regulations. The EAR and the ITAR govern the shipment or transfer (directly or indirectly) of export ­controlled technical data, information, materials and equipment to destinations outside the United States, as well as the provision of services and access to certain export controlled technical data, information, materials or equipment to debarred persons or entities and to non-U.S. persons within or outside the United States. In addition, the OFAC regulations impose sanctions and embargoes on transactions or exchanges with designated countries, entities and individuals, which in turn restricts UNH’s ability to conduct certain activities with those subject to the sanctions.

1.3   UNH recognizes that these regulations support critical national-security, economic, and foreign policy interests of the United States.

2.   Definitions

2.1   Definitions related to export controls are codified in the Export Administration Regulations (EAR) at 15 CFR § 772, the International Traffic in Arms Regulations (ITAR) at 22 CFR § 120, and the Office of Foreign Assets Control (OFAC) regulations at 31 CFR Part 501.

2.2   “Activities” include, but are not limited to: research; research training; provision of services; payment for services; instruction of students; hosting visiting scholars and other official guests; foreign travel; attendance at conferences and meetings, and presentations made at such; procurement; approval or payment of invoices; shipping and mailing; and, international collaborations, whether formally sponsored or not.

2.3   “U.S. Person” means any U.S. citizen, lawful permanent resident (a/k/a “green card” holder) of the U.S., or an individual who has been granted asylum or refugee status in the U.S. This definition also includes any corporation, society, or other entity or group that is incorporated or organized to do business in the U.S., and any federal, state, or local government entity in the U.S.

3.   Statement of the Policy

All individuals affiliated with UNH who work with, or have access to, export­ controlled technical data, information, materials and equipment or who engage in Activities are required to be familiar with and fulfill the requirements of the U.S. export controls laws and regulations by following applicable UNH guidelines, procedures and related policies, and consulting with UNH’s Empowered Official (see Section 5.2) as needed.

4.   Applicability. This policy is applicable to any Activity involving the use of export-controlled technical data, information, materials and equipment, or involving a non-U.S. Person, that is:

4.1   Conducted by or under the direction of any employee, student, or agent of UNH in connection with his or her individual UNH responsibilities;

4.2   Conducted by or under the direction of any employee, student, or agent of UNH involving the use of any UNH equipment, property or facility;

4.3   Involving any collaborating, sub-granting, or subcontracting individual or institution working with UNH;

whether such Activity is unsponsored, or is sponsored by UNH or extramural funding from any source.

5.   Administration of Policy

5.1   The Senior Vice-Provost for Research is responsible for the administration of this policy and applicable UNH guidelines and procedures.  Approval by the UNH President is required to amend this policy.

5.2   The Senior Vice Provost for Research will designate Empowered Officials to facilitate compliance and assist the UNH community with training, guidance, and administration of applicable regulations.

6.   Enforcement

6.1   UNH’s workforce members are expected to follow federal and state laws and regulations, as well as UNH’s policies and procedures regarding information security and export controls and regulations.

6.2   Besides the possibility of incurring significant reputational damage, civil and criminal penalties for violations of export control regulations are substantial, including significant fines, debarment from participation in federal contracting, loss of export privileges, and in some cases imprisonment.  Such penalties can be imposed upon the individual(s) involved, as well as the institution.