老虎机攻略

Aurora borealis streaks across the sky over Main Hall at the 老虎机攻略

Research

Export Control Policy

老虎机攻略 Policy #:   480 (interim)

Date Adopted: June 6, 2024

Review Date:    January 2027

Responsible Party:   Office of Research Compliance

References:   Export Administration Regulations (EAR)

                           International Traffic in Arms Regulations (ITAR)

                          Office of Foreign Asset Control (OFAC)

 

Purpose

The purpose of this policy to heighten awareness and understanding of Export Control laws and regulations as they apply to the operations of the 老虎机攻略, and to describe compliance responsibilities and institutional resources available for all University Personnel.

 

Policy

It is the intent of the 老虎机攻略 that teaching, research, and service will be accomplished openly and without unnecessary prohibitions or restrictions on the ability of University Personnel to collaborate, publish, and otherwise disseminate results of academic and research activities. 

It is equally the intent of the University that such activities comply with all applicable laws, regulations, and policies.  Certain U.S. Federal laws and regulations govern and may restrict the transfer of materials and information to Foreign persons, and still others govern and may prohibit direct interactions with particular Foreign persons.  These laws and regulations apply whether a transfer to, or an interaction with, a Foreign person occurs within the U.S. or abroad.  Collectively, these laws and regulations comprise Export Controls enacted to further U.S. national security interests and to promote foreign policy objectives.   

Failure to comply with Export Controls can result in significant sanctions and penalties for the University, and/or may result in direct criminal and civil liability for University Personnel involved in an Export Controls violation. It is therefore incumbent upon University Personnel to become familiar with this policy and the University’s procedures for operationalizing the policy. 

    

Definitions 

The following definitions apply in this policy: 

Commerce Control List (CCL): List of items under the export control jurisdiction of the U.S. Department of Commerce.  The CCL is found in 15 CFR 774 Supplement 1.

Deemed Export: Release or transmission of information or technology subject to export control to any foreign person, regardless of location.  Deemed exports may occur through demonstration, oral briefing, facility visit, as well as the transmission of controlled data.  If the university accepts company proprietary information in connection with research, and the information is “technology”, then revealing this information to a foreign person may be a “deemed export”. 

Defense Service: Furnishing technical data or assistance (including training) to foreign persons (i.e., foreign nationals) whether in the United States or abroad in the design, development, engineering, manufacture, production, assembly, testing, repair, maintenance, modification, operation, demilitarization, destruction, processing or use of defense articles; or military training of foreign units and forces.  Defense services also include informal collaboration, conversations, or interchanges concerning technical data.

Export:   is any one of the following:

  • An actual shipment or transmission of the United States, including sending or taking a controlled item (commodities, software, and technology) or a defense article (item, technical data) out of the United States in any manner to anyone, including a U.S. citizen; 
  • A Deemed Export as defined above; 
  • Releasing or otherwise transferring a controlled item or a defense article to a foreign embassy or affiliate;  
  • Providing a service or conducting any type of transactions with embargoed countries and individuals; or
  • Performing a defense service on behalf, or for the benefit, of a foreign person whether in the United States or abroad.  

Export Administration Regulations (EAR): The Export Administration Regulations, administered and enforced by the U.S. Department of Commerce, govern the export of dual use technologies having both military and civilian applications. These technologies are assigned an Export Control Classification Number (ECCN), which must then be compared to the Commerce Department’s Country Chart to determine the controls applicable to a given country. In assessing the export control status of dual use technologies, faculty and staff should be mindful that the CCL controls a variety of technologies (such as lasers, optical lenses, biological agents and imaging devices) whose military application may not be immediately apparent.

Export Controls: Refers collectively to the body of U.S. laws and regulations that govern the transfer of certain materials, devices, and technical information related to such materials and devices to foreign persons, as well as prohibitions on certain types of transactions and engagements with individuals and entities designated as a defense service by a federal agency.  These include but are not limited to the International Traffic in Arms Regulations (ITAR), the Export Administration Regulations (EAR), and the Office of Foreign Assets Control’s Sanctions Regulations (OFAC). 

Foreign person:  any natural person or entity which is not one of the defined categories in the definition of a U.S. Person. 

Fundamental Research: Basic and applied research in science, engineering and mathematics where the resulting information is ordinarily published and shared broadly within the scientific community, as distinguished from research of which the results are restricted for proprietary or national security reasons. 

International Traffic in Arms Regulations (ITAR): The International Traffic in Arms Regulations (ITAR) regulations, administered and enforced by the U.S. Department of State, govern the export of defense articles, defense services, and related technical data of an inherently military nature.  In assessing the export control status of technologies potentially subject to the ITAR, faculty and staff should be mindful that the United States Munitions List Categories define ITAR controlled technologies in broad enough terms to encompass virtually any technology designed, modified, configured, or adapted for military use (as well as certain sensitive technologies that are controlled without regard to their intended use).

Office of Foreign Asset Control: The U.S. Department of the Treasury’s Office of Foreign Asset Control (OFAC) administers and enforces economic and trade sanctions against certain foreign countries, organizations, persons and regimes designated by Congress as threats to the national security, foreign policy or economy of the United States. Although U.S. sanctions vary by country, virtually all transactions with (and, in some cases, travel to) the comprehensively embargoed countries such as Cuba, Iran, North Korea, Sudan, and Syria are prohibited. In addition, the Department of the Treasury publishes lists of Specially Designated Nationals (SDN) with whom virtually all transactions are prohibited.

Restricted Party: Restricted Party includes, but is not limited to, restricted foreign universities as designated on the Department of Commerce Entity List and Specially Designated Nationals as identified by the Department of Treasury Office of Foreign Asset Controls. 

Technical Data (ITAR):  Includes:

  • Information which is required for the design, development, production, manufacture, assembly, operation, repair, testing, maintenance, or modification of defense articles. This includes information in the form of blueprints, drawings, photographs, plans, instructions or documentation; or
  • Classified information relating to defense articles and defense services, and some software directly related to defense articles may be considered technical data (see 22 CFR § 120.45(f)); or
  • Information covered by an invention secrecy order.

The definition above does not include information concerning general scientific, mathematical, or engineering principles commonly taught in schools, colleges, and universities, or information in the public domain. It also does not include basic marketing information on function or purpose or general system descriptions of defense articles.

Technology (EAR): Information necessary for the “development,” “production,” “use,” operation, installation, maintenance, repair, overhaul, or refurbishing of an item.

University Personnel:  老虎机攻略 faculty, staff, visiting scientists, postdoctoral fellows, students, and anybody else who is paid by or otherwise engaged by 老虎机攻略 to conduct research, teach, or provide services at or on behalf of 老虎机攻略. 

U.S. Person:

  • Any individual who is granted U.S. Citizenship;
  • Any individual who is granted U.S. permanent residence (a “Green Card” holder);
  • Any individual who is granted status as a “protected person” under 8 U.S.C. § 1324b(a)(3);
  • Any corporation/business/organization/group incorporated in the U.S. under U.S. law; or
  • Any part of the U.S. government.

 

Exclusions 

This policy does not apply when any of the below exclusions are met.  As an accredited U.S. institution of higher education that adheres to these principles, the University routinely relies on the following Export Control exclusions:  the Fundamental Research Exclusion (FRE) for research activities performed in the U.S., the Educational Information Exclusion, and the Public Information Exclusion. 

Fundamental Research Exclusion (FRE) 

The term “fundamental research” as used in export control regulations, means research in science, engineering, or mathematics at accredited institutions of higher learning in the U.S. where the resulting information is ordinarily published and shared broadly within the research community, and for which the researchers have not accepted restrictions for proprietary or national security reasons.  University research will not be considered fundamental research if:

  1. The University or its researchers accept other restrictions on publication of scientific and technical information resulting from the project or activity, or
  2. The research is funded by the U.S. Government and specific access and dissemination controls protecting information resulting from the research are applicable.

 

Under the EAR and ITAR, while information resulting from fundamental research activity may be excluded from Export Controls, the physical equipment and materials employed to generate those results may still be under restrictions prohibiting access by foreign persons.   

Educational Information Exclusion 

Information concerning general scientific, mathematical, or engineering principles commonly taught in schools, colleges, and universities or disclosure of information released by instructions in catalog courses and associated teaching laboratories of academic institutions are excluded from this policy.

 Public Information Exclusion 

Information and data that have been lawfully published and are accessible or available to the public (i.e., in the public domain) are excluded from this policy.  When determining whether this exclusion applies, the University will adhere to the definitions of “Published” and “Public Domain” as defined in the ITAR and the EAR. 

Record Retention 

The University must retain certain documentation related to Export Controls in accordance with time periods set forth under applicable U.S. laws and regulations. The Export Control Officer in the Office of Research Compliance has primary responsibility for retaining copies of Export-related documentation, including, but not limited to, analyses of license requirements and related correspondence, notes, and memoranda, for a minimum of five years from the date of Export, re-export and transfer. Departments, programs, and University Personnel are also responsible for retaining Export-related records and documentation, such as licenses and shipping documentation, for a minimum of five years from the date of Export, re-export, or transfer. Records may be kept as electronic files or hard copies.