Purpose and Scope
This policy addresses the University's obligations to comply with federal Export Control laws. It applies to all members of the campus community, including but not limited to, tenure line and non-tenure line faculty, lecturers, students, postdoctoral fellows, postdoctoral scholars, and other postdoctoral personnel, independent researchers, visting scholars, visiting scientists, contractors, subcontractors, staff and volunteers.
Background
The purpose of United State Export Control laws and regulations is to restrict access to items or information that might be contrary to U.S. interests. These laws restrict the Export and/or Deemed Export of specific restricted items, software or information from disclosure to individual countries. A Deemed Export occurs when controlled items, software (e.g., encrypted open-source code), or information is released to a foreign national within the United States. These laws and regulations impact all three core missions: teaching, research, and service. Export Controls may prohibit engaging in these activities altogether or may require obtaining a license or other government authorization prior to engaging in these activities. Items classified as Fundamental Research are typically exempt from Export Control restrictions. Export Control regulations do not apply to information released in the University's academic catalog-listed courses or in teaching laboratories associated with those courses. This means that a course instructor teaching a University course may discuss what might otherwise be export-controlled technology in the classroom or laboratory without an Export Control license, even if foreign national students are enrolled in the course.
Policy
All members of the University shall comply with applicable federal export control laws and regulations, including without limitation the Arms Export Control Act ("AECA"), 22 U.S.C. 2751 et. seq.; the International Traffic in Arms Regulations ("ITAR"), 22 C.F.R. 120 et. seq.; the Export Administration Regulations ("EAR"), 15 C.F.R. 730 et. seq.; the Foreign Assets Control Regulations ("FACR"), 31 C.F.R. 500 et. seq.; and all campus policies and procedures related to Export Controls. These policies include, but are not limited to, the following areas: research, purchasing equipment and materials, international traveling, hiring and collaborations with colleagues in other countries.
The University offers training on Export Controls to the University community, such training helps individuals be more aware of the requirements of these laws and regulations.
Failure to comply with Export Control laws and regulations may result in substantial civil or criminal penalties, including fines and imprisonment, as well as administrative sanctions (loss of research funding and export privileges). Fines and sentences can apply to the individual as well as the University.
Responsibility
Academic and Administrative Units
Academic and administrative units are responsible for developing, in consultation with the Export Compliance Officer, procedures for complying with this policy and export controls actively managing and monitoring compliance with Export Control laws. Each administrative unit must create procedures to administer major university functions related to export compliance. These functions include, but are not limited to:
- admissions
- human resources
- international programs
- academic research
- sponsored programs
- technology transfer
- accounts payable
- materials management
- procurement
- environmental health and safety
- information technology
- gifts/advancement
The Vice President for Academic Affairs and Provost is responsible for designating an Export Control Officer. The Office of Research and Graduate Studies is required to offer training on Export Controls to the University community.
Export Control Officer
The Export Control Officer is responsible for developing and implementing policies regarding export control obligations.
The Export Control Officer's responsibilities include:
- Serving as the primary contact for the campus community regarding this policy and Export Controls generally;
- Determining the applicability of Export Controls to campus activities;
- Coordinating applications for export licenses and related authorizations on behalf of the campus, and applying for or assisting with applying for, such licenses and authorizations;
- Assisting campus personnel in developing procedures for securing and managing access to items and information subject to Export Controls, and approving such procedures;
- Conducting training and providing other educational resources regarding compliance with this policy and with federal export laws and regulations;
- Assisting academic and administrative units with developing procedures for complying with this policy and with federal export laws and regulations;
- Performing periodic assessments of efforts to comply with this policy and with federal export laws and regulations;
- Investigating suspected Export Control violations, including violations of this policy.
Campus Community
All members of the Illinois State University community must comply with Export COntrol requirements to ensure that no Exports or Deemed Exports are made contrary to regulations, including determining whether Export Controls may apply before or when undertaking any of the following activities:
- Initiating any new research, regardless of funding source;
- Shipping or receiving any Controlled items;
- Traveling for any purpose to or communicating by any means with a Foreign National from a U.S.-sanctioned country, as listed by the U.S. Treasury Departments's Office of Foreign Assets Control (OFAC)*;
- Taking any electronic device that can store or communicate data, such as laptop computers, compact and portable storage devices, GPS systems, phones, mobile devices, and their associate software to another country;
- Taking any Controlled items to another country;
- Exporting, releasing, transmitting or allowing access to Controlled research through oral, written or electronic communication (including texts and emails);
- Development of technology control plans;
- Participating in Controlled research or training activities abroad;
- Allowing foreign persons, including but not limited to undergraduate or graduate assistants, colleagues, or other members of the public, to participate or have access to any Controlled items; information or research activity;
- Storing and/or processing data in another country e.g. server farm;
- Taking receipt of Controlled materials from a third party;
- Making a purchase, applying for a grant, or entering into a contract that contains language that relates to Export Control provisions, including but not limited to publication restrictions, sponsor limitations on who may work on the research, Export Control compliance obligations, or Export Control reporting requirements;
- Accepting gifts or donations from restricted Foreign Nationals; or
- Conducting business with sanctioned countries or restricted individuals or businesses.
Definitions
- Export Control refers to federal export laws and regulations, including without limitation, the Arms Export Control Act ("AECA"), 22 U.S.C. 2751 et seq.; the International Traffic in Arms Regulations ("ITAR"), 22 C.F.R. 120 et seq.; the Export Administration Regulations ("EAR"), 31 C.F.R. 500 et seq.; and all campus policies and procedures related to Export Controls.
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Foreign Nationals are any persons or entities who do not fall into one of the following categories:
- United States citizens;
- Lawful permanent residents of the United States;
- Refugees, asylees, and similarly protected individuals;
- Entities of the United States government, including both state and federal agencies; or
- Corporations, business associations, and other organizations incorporated or otherwise authorized to do business in the United States.
- Technology Control Plans are documents that record procedures for securing and managing access to controlled items. Technology control plans may be specific to individual activities or may be established to secure equipment or information that is used for several activities.
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Controlled: An item is "Controlled" if:
- The item appears on the Commerce Control List (including items, software, or information) and is subject to the export licensing authority of the Bureau of Industry and Security under the Export Administration Regulations;
- The item is a defense article or technical data subject to the export licensing authority of the Department of State, listed on the U.S. Munitions List under the International Traffic in Arms Regulations, or is otherwise specifically, designed, developed, configured, adapted, or modified for military application;
- An item t hat is to be shipped, transmitted, or transferred to a country subject to U.S. economic sanctions, to an end-user on a U.S. Government Restricted Party List, or in support of a prohibited end-use; or
- Other prohibitions limit the shipment, transmission, or transfer of item.
The determination of whether an item is "Controlled" is critical in determining whether Export Control laws and regulations apply to the activity.
- Export is a transfer (shipment, electronic transmission, verbal disclosure, or visual inspection) of export-controlled items, software, or information out of the United States or within the United States to a Foreign Person.
- Deemed Export occurs when controlled "technology" or "technical data" is released or transmitted to a Foreign Person within the United States.
- Fundamental Research, according to the Bureau of Industry Security, means research in science, engineering, or mathematics, the results of which ordinarily are published and shared broadly within the research community, and for which the researchers have not accepted restrictions for proprietary or national security reasons.