Policies & Procedures

Export Control

What is Export Control?

U.S. export control laws and regulations exist to maintain national security and protect U.S. economic vitality. These regulations control the shipment of both tangible items and technical data outside the United States, and prohibit access to export-controlled technical data, materials, or equipment to non-U.S. persons within the United States, known as a deemed export. The Office of Foreign Assets Control (OFAC) regulations impose sanctions and embargoes on transactions or exchanges with designated countries, entities and individuals.

2 Most Common Regulations

  1. International Traffic in Arms Regulations (ITAR)
    • Under the U.S. Department of State
    • Controls all items on the United States Munitions List (USML)
  2. Export Administration Regulations (EAR)
    • Under the U.S. Department of Commerce
    • Controls commercial/dual-use items (not on another export control list, i.e. USML)
    • Controls items listed on the Commerce Control List (CCL)

Export Control Laws and Universities

Most of the research at the University of Kentucky is considered fundamental research, where export laws do not apply. However, some items/technologies fall under the reach of these U.S. export control laws. Sponsored programs may have export restrictions on particular items, equipment, technology and data. Additionally, the research may have restrictions on the participation of foreign nationals and/or freedom to publish the results of the research. When this is the case, John Craddock from OSPA will assist those involved in the research with compliance with the federal regulations

What this Means for UK Principal Investigators

During the proposal stage, key terms to look for in the FOA/RFP include export control, foreign national restrictions, and publication restrictions. This language is generally indicative that U.S. export control laws may apply to the proposed research. 

Once awarded, OSPA will work with the PI to properly determine if export control laws apply. If the research is export controlled, thus not fundamental research, OSPA will work with the PI to set up protocols to ensure compliance with U.S. export laws. 

Contact

For questions about export control laws and your research and/or technologies, the University of Kentucky Office of Sponsored Projects Administration export compliance official's contact information is listed below. 

John Craddock
859-257-2615
john.craddock@uky.edu

Industry Sponsored Agreements

The University of Kentucky is committed to building on its history of successful collaborations by providing a cooperative and supportive environment that benefits our research faculty, staff and students, and our sponsors.

Please use this Industry Sponsored Agreements guide for information on common issues involved in research agreements. 

Federal Uniform Guidance

The Federal Uniform Guidance is the underlying guidelines for university recipients of federal awards in terms of applying for, accepting, and managing federal grants and other funding. See the Federal Uniform Guidance page for additional details.

Clinical Trials

UK's policies and procedures for Clinical Trials are available on the Clinical Trial Agreements page.

Program Income

Excerpt: 2CFR 200 – Uniform Administrative Requirements, Cost Principles, and Audit Requirements For Federal Awards § 200.307 Program Income

(a) General. Non-Federal entities are encouraged to earn income to defray program costs where appropriate.

(b) Cost of generating program income. If authorized by Federal regulations or the Federal award, costs incidental to the generation of program income may be deducted from gross income to determine program income, provided these costs have not been charged to the Federal award.

(c) Governmental revenues. Taxes, special assessments, levies, fines, and other such revenues raised by a non-Federal entity are not program income unless the revenues are specifically identified in the Federal award or Federal awarding agency regulations as program income.

(d) Property. Proceeds from the sale of real property or equipment are not program income; such proceeds will be handled in accordance with the requirements of Subpart D—Post Federal Award Requirements of this part, Property Standards § 200.311 Real property and § 200.313 Equipment, or as specifically identified in Federal statutes, regulations, or the terms and conditions of the Federal award.

(e) Use of program income. If the Federal awarding agency does not specify in its regulations or the terms and conditions of the Federal award, or give prior approval for how program income is to be used, paragraph (e)(1) of this section must apply. For Federal awards made to IHEs and nonprofit research institutions, if the Federal awarding agency does not specify in its regulations or the terms and conditions of the Federal award how program income is to be used, paragraph (e)(2) of this section must apply. In specifying alternatives to paragraphs (e)(1) and (2) of this section, the Federal awarding agency may distinguish between income earned by the recipient and income earned by subrecipients and between the sources, kinds, or amounts of income. When the Federal awarding agency authorizes the approaches in paragraphs (e)(2) and (3) of this section, program income in excess of any amounts specified must also be deducted from expenditures.

(1) Deduction. Ordinarily program income must be deducted from total allowable costs to determine the net allowable costs. Program income must be used for current costs unless the Federal awarding agency authorizes otherwise. Program income that the non-Federal entity did not anticipate at the time of the Federal award must be used to reduce the Federal award and non-Federal entity contributions rather than to increase the funds committed to the project.

(2) Addition. With prior approval of the Federal awarding agency, program income may be added to the Federal award by the Federal agency and the non-Federal entity. The program income must be used for the purposes and under the conditions of the Federal award.

(3) Cost sharing or matching. With prior approval of the Federal awarding agency, program income may be used to meet the cost sharing or matching requirement of the Federal award. The amount of the Federal award remains the same.

(f) Income after the period of performance. There are no Federal requirements governing the disposition of income earned after the end of the period of performance for the Federal award, unless the Federal awarding agency regulations or the terms and conditions of the Federal award provide otherwise. The Federal awarding agency may negotiate agreements with recipients regarding appropriate uses of income earned after the period of performance as part of the grant closeout process. See also § 200.343 Closeout.

Deadlines

Internal Proposal Receipt Deadline

In order to ensure that OSPA has the ability to submit your proposal before the sponsor's deadline, the completed proposal must be received by the OSPA Research Administrator at least three (3) business days in advance of the sponsor's deadline. Remember to take into account that the usual department and college approvals are required prior to submission. This is in effect for all proposals; paper or electronic.

Electronic Internal Approval Form (eIAF) Deadlines

IAFs must be received by OSPA at least three business days prior to the sponsor's published deadline. Some colleges have additional eIAF Internal Deadlines: 

NOTE: guidelines refer to business days

  • Agriculture - 5 days (includes OSPA's 3 day rule)
  • A&S - 7 days for a single college/ 14 days for an inter-college proposal (includes OSPA's 3 day rule)
  • B&E - 5 days (includes OSPA's 3 day rule)
  • Communications - 7 days for a single college/ 14 days for an inter-college proposal (includes OSPA's 3 day rule)
  • Education - 10 days (includes OSPA's 3 day rule)
  • Engineering - 10 days (in advance of OSPA's 3 day rule)
  • Health Sciences - 7 days (in advance of OSPA's 3 day rule)
  • Medicine - 10 days (in advance of OSPA's 3 day rule)
  • Nursing - 14 days (includes OSPA's 3 day rule)
  • Pharmacy - 10 days (includes OSPA's 3 day rule)
  • Social Work - 4 days (includes OSPA's 3 day rule)

For more information about the eIAF, see the Electronic Resources page.