REG 10.00.05 - Export Control Compliance

Authority: Chancellor

History: First Issued: October 6, 2009. 

Additional References: 
US Department of Commerce Export Administration Regulations 

US Department of State International Traffic in Arms Regulations  
US Department of the Treasury Office of Foreign Asset Control 
NCSU Export Control Website 
UNC-General Administration Compliance Website

Contact: Compliance Officer for Integrity, Objectivity and Security (919-515-0158)


1.  Introduction

Federal export control laws restrict for reasons of national security and foreign policy the shipment, transmission or transfer of certain items, software, technology and services from the U.S. to foreign countries, as well as “deemed exports,” which are releases of controlled technology and software source code to foreign nationals located in the U.S.  Although many of the University’s activities are exempt from export control laws, some activities may be restricted. Prior written authorization (a “license”) from one or more U.S. government agencies may be required to carry out certain sponsored research or other educational activities involving specified technologies or certain countries, if an exemption or exception is not available.   Failure to comply with these laws exposes both the employee and the University to severe criminal and civil penalties (fines and prison sentences) as well as administrative sanctions (loss of research funding and export privileges).

2.  Statement of Policy

All university personnel, including employees, visiting scholars and students will comply with all United States Export Control laws and regulations, including the Department of Commerce's Export Administration Regulations (EAR), the Department of State's International Traffic in Arms Regulations (ITAR), and the regulations administered by the Treasury Department's Office of Foreign Assets Control (OFAC).

2.1 Scope.   This regulation shall apply to all university personnel, including faculty, staff, students, and visiting scholars.

3.  Implementation

3.1 University Empowered Official

The Vice Chancellor for Research and Innovation will serve as the Empowered Official as defined in the International Traffic in Arms Regulations, 22 CFR 120.25, and shall be empowered to sign export license applications or other requests for approval on behalf of the University. The Empowered Official will have overall responsibility for the University’s compliance with this regulation.

3.2 Annual Report

The Compliance Officer for Integrity, Objectivity and Security shall report each year to the Vice Chancellor for Research and Innovation on the state of the institution with respect to Export Control matters.