Export Control

Institutional Position 

The University of Montana believes that teaching, research, and service activities will be accomplished openly and without prohibiltion or restriction on publication and dissemination.

However, certain federal regulations may require the University to obtain permission from the Department of State, the Department of Commerce, or the Department of the Treasury's Office of Foreign Assets Control before allowing foreign nationals to participate in research involving specific technologies or before sharing research information or materials with persons who are neither citizens of the United States nor permanent resident alients.

Such export control regulations relate to:

1. the shipment of tangible items overseas;
2. the sharing of proprietary, confidential, or restricted information or software code with foreign nationals at The University of Montana; and
3. interactions with embargoed or sanctioned countries, organizations, or individuals.

These export control regulations have the potential to limit opportunities of University researchers and their students, affect publication rights, or prevent international collaboration. In addition, violations of these export control regulations can result in the loss of sponsored agreements, monetary fines, or prison. The regulations do not apply to information that is in the public domain or the result of fundamental research activities, as defined by federal law.

Therefore, The University of Montana shall pursue its mission in teaching, research, and service in a manner that enables the University to claim the benefit of public domain or fundamental research exemptions from federal export regulations whenever possible, while at all times complying with such regulations.

The Office of Research and Sponsored Programs (ORSP), the Office of Legal Counsel, and Principal Investigators (PIs) must thoroughly review the terms and conditions of sponsored projects to determine the applicability of export control regulations and exemptions.  

Guidelines

1. The PI will disclose on the Checklist for Proposal Approval whether s/he plans to 1) ship or electronically transmit any article, material or supply, or technical data out of the United States, 2) or collaborate with any foreign persons or entities, or 3) work with or provide any export controlled items, information, material, or substance. Upon disclosure, the PI will complete the Export Control Review (ECR) form for ORSP review.  ORSP will work with the Office of Legal Counsel, PI, and sponsor to determine the nature and impact of such restrictions.

2. After receipt of notice of award, ORSP will review the agreement terms and conditions for any provisions that restrict access to or publication of research and technical data, that limit participation of foreign nationals in the project, or that otherwise render the exemptions from the export control regulations inapplicable. If the ECR is not on file, ORSP will request the PI complete it.  

3. If the results of such review indicate that an exemption from the export control regulations may not be available, ORSP will forward the ECR and supporting documentation to the Office of Legal Counsel. The Office of Legal Counsel will confirm the review and the terms or conditions that affect the University’s exemption from export control regulations.  The matter will then be referred to the Vice President for Research and Development (VPRD) or his/her designee for determination as to whether the research is export controlled or if other restrictions apply. This determination will be documented in the ORSP Award file.

4. If the research agreement falls under any of these regulations, ORSP, in collaboration with the Office of Legal Counsel, will contact the sponsor to negotiate removal or modification of the provisions that affect the University’s exemption from export control regulations. If such negotiation is unsuccessful, the matter will be referred to the VPRD (or designee) to determine if the University will apply for an export control license, conduct the research under export control restrictions, or abandon the research effort due to the possible burdens or restrictions associated with regulatory compliance.

5. If the VPRD (or designee) approves the conduct of research subject to an export control license, the Office of Legal Counsel will proceed to make application for the appropriate license. No work under a contract or grant, or proposed contract or grant, can begin until this process has been completed and any required export control license has been secured.

6. If the research is to be conducted under export control restrictions without an export license, the PI shall certify that controls are in place to protect the restricted items or data from disclosure to non-resident foreigners and from export out of the country.  

7. If a research sponsor requests publication or security restrictions after a sponsored agreement (without such restrictions) has been executed, the PI shall contact Office of Legal Counsel before agreeing (formally or informally) to any such publication or security restriction. The PI, ORSP, Office of Legal Counsel, and the VPRD (or designee) will work together for assessment of export control consequences and disposition of the sponsor request.

Any questions or concerns about the application of export control regulation or any matters related to export control should be addressed to the Office of Legal Counsel.