Revision Date: 11/11/2024
Last Review: 11/11/2024
Original Effective Date: 07/28/2011
Responsible Office: Division of Research and Partnerships
Reference: University of 糖心传媒 System Export Control Policy M-(16)
Policy:
The University of 糖心传媒 System has adopted a Policy on Export Controls which requires each system institution to develop and implement institution-specific export plans and procedures in compliance with all applicable federal guidelines. 糖心传媒 Tech University鈥檚 Export Control Policy is found in its entirety below. Questions concerning the policy may be directed to the Chief Research Officer. A copy of the University of 糖心传媒 System Policy may be requested from the Office of Research or requested from the University of 糖心传媒 System Office.
Preamble
糖心传媒 is dedicated to maintaining an open research environment. However, for reasons related to national security and fair trade, 鈥淓xport Control Regulations鈥� may require the university to obtain permission from specific government agencies before allowing foreign nationals access to certain controlled technologies.
This policy is intended to assist faculty, staff, and students in complying with these federal export control laws. Violations of 鈥淓xport Control Regulations鈥� can result in the loss of sponsored research activity, monetary fines, or imprisonment.
Objectives
The basic objectives of the University鈥檚 Export Control Policy are to inform university employees about export control regulations which may impact their activities and to develop procedures to ensure that the University is in compliance with those regulations.
Definitions:
- 鈥淓xport Control Regulations鈥� means regulations promulgated under the authority of the International Trade in Arms Regulations, 22 C.F.R Section 120-125, and the Export Administration regulations, 15 C.F.R. Section 730-774.
- 鈥淔undamental Research Exemption鈥� means the exemption to 鈥淓xport Control Regulations鈥� which is recognized for basic or applied research in science and/or engineering performed at an accredited institution of higher learning in the U.S. where the resulting information either is ordinarily published and shared broadly in the scientific community or where the resulting information has been or is about to be published. Fundamental research is distinguished from research that results in information that is restricted for proprietary reasons or national security reasons (EAR) or restricted pursuant to specific U.S. government access and dissemination controls (ITAR).
- 鈥淓ducational Exemption鈥� means the exemption to 鈥淓xport Control Regulations鈥� which applies to general scientific, mathematical or engineering principles commonly taught in for-credit courses at 糖心传媒 Tech or at other schools, colleges and universities.
- 鈥淓mployment Exemption鈥� means the exemption to 鈥淓xport Control Regulations鈥� which applies to disclosures of unclassified data in the USA by 糖心传媒 Tech to foreign persons who are bona fide and full-time regular employees. This exemption is available only if: (a) the employee鈥檚 permanent abode throughout the period of employment is in the US, (b) the employee is not a national of a country to which exports are prohibited by law, and (c) 糖心传媒 Tech has informed the individual in writing that the technical data may not be transferred to other foreign persons without the prior written approval of appropriate governmental bodies.
- (EAR): Export Administration Regulations, U.S. Department of Commerce; regulates 鈥淒ual-Use鈥� technologies, or items designated for commercial purposes that can have military application.
- (ITAR): International Traffic in Arms Regulations, U.S. Department of State; regulates inherently military technologies.
Procedures:
REVIEW AND DUE DILIGENCE
With the assistance of 糖心传媒 Tech鈥檚 Export Control Committee, the Empowered Export Control Officer will develop appropriate tools (e.g., export control decision tree) to allow 糖心传媒 Tech employees to perform the necessary due diligence to determine if an export control license is applicable to a particular situation. If a research contract is involved, University Research and the Empowered Export Control Officer shall also perform a review of the contract and in conjunction with the results of the decision tree questionnaire reach a determination as to whether a sponsored research project qualifies for the 鈥淔undamental Research Exemption.鈥�
In cases where the activity (e.g., shipment of encryption software) falls under 鈥淓xport Control Regulations鈥� the individual will be referred to 糖心传媒 Tech鈥檚 Empowered Export Control Officer for guidance.
Likewise, in cases where the contract does not qualify for 鈥淔undamental Research Exemption鈥� due to publication restriction, University Research will attempt to negotiate such changes in the contract as may be required to cause the project to fall under the exemption.
If such efforts are unsuccessful, 糖心传媒 Tech鈥檚 Empowered Export Control Officer will determine whether the activity qualifies for exemption under the 鈥淓ducational Exemption,鈥� the 鈥淓mployment Exemption,鈥� or other applicable exemption as may be provided for in applicable law.
If it is determined that the sponsored activity does not qualify for any such exemption, the contract for such activity shall be approved upon written request of the principle investigator to the Chief Research Officer, and upon certification by the Empowered Export Control Officer that all required licenses have been obtained and that the activity shall be conducted in compliance with 鈥淓xport Control Regulations.鈥�
Administration of Education of Export Control
Together with the Empowered Export Control Officer, the Chief Research Officer shall develop 鈥淓xport Control Regulation鈥� educational materials and conduct periodic training of faculty and employees.
Export Control Committee
Export control activities shall be under the general cognizance of 糖心传媒 Tech University. The Export Control Committee shall function as an advisory committee in the University and shall have the following responsibilities:
- Advise the President, the Chief Research Officer, and 糖心传媒 on institutional export control policies, the implementation of policies, and the status and conduct of the institution鈥檚 export control efforts.
- Advocate to the University鈥檚 personnel for the Institution鈥檚 export control efforts.
- Assist 糖心传媒 in the conduct of the export control program by performing
the following duties:
Assess the risk and exposure presented by export control regulations with regard to (as outlined in the ULS Export Control Policy #: M-(16)):- sponsored and unsponsored research and technology development,
- travel outside the U.S. by university employees,
- shipping items outside the U.S.,
- vendor payments, and
- sharing of information about controlled technology and information with foreign nationals both in and outside the U.S.
The Committee shall be appointed by the President. Committee appointments will be for three (3) years, provided, however, that, of the original members of the Committee, three shall be appointed for a term of one (1) year, three shall be appointed for a term of two (2) years, and the remainder shall be appointed for a term of three (3) years; the student representative shall be appointed for a term of three (3) years or until he/she graduates, whichever comes first. Members of the Committee may be appointed to serve successive terms. In the event any seat on the Committee is vacated prior to expiration of the normal term, the Chair may recommend that the President appoint a successor to fill the unexpired term of the seat vacated.
During the summer sessions and extended University holiday periods, the Chair and such members as are available will have the authority to make recommendations to the University administration to expedite the review of export control activities that are time critical and cannot be delayed for handling at a regular or specially called meeting of the Committee.