Current through all regulations passed and filed through December 16, 2024
(A) Policy statement. It is the policy of the
university that all students, employees, and all other people retained or
working at or for the university comply with all U.S. laws and regulations
while performing work on behalf of the university. Although the university
strives to create an environment where teaching, learning, and research are
conducted openly and without restrictions, certain federal regulations may
require the university to obtain permission from the government before allowing
foreign persons to participate in or have access to research involving specific
technologies or data. Export control regulations have the potential to:
(1) Limit research opportunities of
university faculty, staff, and students;
(2) Affect publication rights;
and/or
(3) Prevent
collaboration
(B)
Purpose. To establish university compliance with U.S. export control laws and
regulations while balancing the university's commitment to openness in research
and education.
(C) Scope. This
policy applies to all members of the campus community, comprising all units and
university personnel including faculty, staff, visiting scholars, research
associates and fellows, student employees, students, visitors, volunteers, and
all others retained by or working at the university when conducting any
research, teaching, service or business activity at the university or on behalf
of the university at a domestic location or in a foreign country.
(D) Definitions.
(1) "Controlled export." Specific types of
exports regulated by the federal government (e.g., commodity, biologics,
equipment, software, encryption, technology or technical information) sent from
the U.S. to a foreign person or destination.
(2) "Deemed export." The release or
transmission of controlled exports, technology, technical data, or software
source code to a foreign person in the U.S. This can be through the physical
release of information or technology or through communications, such as
discussions, with a foreign person including students, visitors, and foreign
researchers. Such a release of information is considered to be an export to the
foreign national's home country or country of current citizenship.
(3) "Defense article." Any item or technical
data designated in the U.S. Munitions List,
22 C.F.R.
121.1. Defense articles include technical
data recorded or stored in any physical form, models, mockups, or other items
that reveal technical data relating to the item. It does not include basic
marketing information or general system descriptions (22 C.F.R.
120.6).
(4) "Dual use." Items, information, and
software that are primarily commercial in nature but also have potential
military applications.
(5) "EAR."
Export administration regulations ("EAR"), administered by the department of
commerce through the bureau of industry and security ("BIS") ( 15 C.F.R.
730-774), regulates commercial and dual use items, technology, and software
identified in the commerce control list ("CCL") ( 15 C.F.R. 774).
(6) "Educational information." Information
that is commonly taught in catalog courses and associated teaching laboratories
of academic institutions. It is not subject to export control
regulations.
(7) "Export." Any item
(commodity, software, technology, equipment, software, or information) sent
from the U.S. to a foreign destination is considered an export. Examples of
exports include the actual shipment of goods as well as the transfer of written
documents or information via email, phone, fax, internet postings,
verbal/personal conversations and meetings.
(8) "Export license." A written authorization
provided by the appropriate governing regulatory authority detailing specific
terms and conditions allowing the export or re-export of a controlled
item(s).
(9) "Foreign person or
entity." Anyone who is not a U.S. person. This includes individuals as well as
any foreign corporation, business association, partnership, trust, society, or
any other foreign entity or group, including international organizations and
foreign governments, not incorporated or organized to do business in the
U.S.
(10) "Fundamental research."
Any "basic and applied research in science and engineering, the results of
which are ordinarily published and shared broadly within the scientific
community"" Information that results from fundamental research is not subject
to export control regulations under the fundamental research exclusion ("FRE").
See National Security Decision Directive 189 ("NSDD") for more
information.
(11) "ITAR."
International traffic in arms regulations, administered by the state department
through the directorate of defense trade controls ("DDTC") ( 22 C.F.R. 120-130
), regulates the export of articles and services that are inherently military
in nature.
(12) "Re-export." An
actual shipment or transmission of a controlled export, software, or
information subject to the EAR or ITAR from one foreign country to another
foreign country, including the sending or taking of a defense article to or
from such countries in any manner.
(13) "Technology control plan (TCP)." An
internal university compliance document that is prepared by the office of
research services ("ORS"), subject to review by the office of the general
counsel. The plan outlines the security measures to be taken by the principal
investigator ("PI") to ensure that access to the export-controlled information
is controlled and managed. The TCP is signed by the PI and all who are working
on the project. Once in place, it is the responsibility of the PI to ensure
that all of the security measures listed to safeguard the controlled
information or technology are enforced.
(14) "U.S. person or entity." Any U.S.
citizen, a lawful, permanent resident of the U.S., green card holder, refugee,
or asylum seeker, wherever that person is located. U.S. incorporated or
organized firms and their foreign branches are also considered U.S.
persons.
(15) "U.S. Munitions List
(USML)." A list of articles, services, and related technical data designated as
defense and space related by the United States federal government and are
subject to export control laws and regulations. The USML is subject to export
control regulations under ITAR. The list can be found at
www.ecfr.gov.
(E) Federal administration. There are three
primary departments that oversee and enforce export control regulations: the
department of commerce, the state department, and the treasury department.
(1) The department of commerce
(a) Administers the export administration
(EAR) regulations through the bureau of industry and security
(b) EAR is codified in 15 C.F.R. 730-774
(c) Controls the export of dual
use items
(2) The state
department
(a) Administers the international
traffic in arms regulations ("ITAR") through the directorate of defense trade
controls
(b) ITAR is codified in 22
C.F.R. 120-130
(c) Controls the
export of military and space related items
(3) The treasury department
(a) Manages and enforces export control
through the office of foreign assets control ("OFAC")
(b) Enforces and oversees regulations related
to embargoed and/or sanctioned countries and people and entities from those
countries
(F)
Compliance roles and responsibilities
(1) All
personnel within the scope of this policy are responsible for ensuring that
their educational, research, service and other business activities are
conducted properly and in compliance with export control regulations, all
requirements of this policy, related procedures, and any TCP on which they are
included.
(2) The provost or their
designee shall serve as the empowered official ("EO") of the university in all
matters related to export control. The EO has the responsibility, power, and
authority to:
(a) Serve as the university's
point of contact for export control related matters
(b) Represent the university before export
control regulators
(c) Sign
paperwork binding the university in any proceedings before the DDTC, BIS, OFAC,
or any government agency with export control responsibilities
(d) Sign export license applications or other
export control related requests
(e)
Coordinate with the office of the general counsel regarding the legality of any
proposed export control activity or transaction
(3) The director of the office of research
services shall serve as the export control officer ("ECO") for the university.
The ECO has the responsibility, power, and authority to:
(a) Implement procedures to ensure compliance
with export control regulations and this policy
(b) Develop, conduct, and oversee university
trainings related to export control
(c) Work in conjunction with sponsored
program officers, university department administrators, units, human resource
staff, and the office of the general counsel to facilitate compliance
(4) Failure to comply with the
export control policy or regulations may result in substantial civil and
criminal penalties to the university and specific individual(s) involved, as
well as administrative sanctions resulting in potential loss of federal funding
and export privileges.
(G) Procedures. Procedures and other
information concerning export control laws and regulations, including
regulations in fundamental research and educational information, are available
in the office of research services and "PI Handbook," found
at
www.ysu.edu/research-office.
