Export Control

1.  Policy Statement and Purpose

It is the policy of UNC Charlotte to comply with all United States export control laws and regulations, including those implemented by the Department of Commerce through its Export Administration Regulations (EAR), the Department of State through its International Traffic in Arms Regulations (ITAR), and those imposed by the Treasury Department through its Office of Foreign Assets Control (OFAC).

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. Applicability

This Policy applies to all University faculty, staff, students, and visiting scholars.

3.  Roles and Responsibilities

a.  University Empowered Official

The Vice Chancellor for Research 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.

The Empowered Official is responsible for developing and maintaining an Export Management Plan for UNC Charlotte.  The Export Management Plan will include procedures to ensure appropriate recordkeeping, training, internal reviews, and screenings conducted with certain departments and any other processes that the Empowered Official finds necessary to ensure University compliance with the applicable export control laws.

b.  Export Control Officer

The Empowered Official will appoint an Export Control Officer to implement the export control management plan and serve as a resource for the various departments whose processes are integral to the University’s compliance with export control laws.

c.  Annual Report

The Export Control Officer shall report each year to the Empowered Official on the state of the institution with respect to Export Control matters.