4.1.11 Export Control Policy

Export Control Policy Statement

It is the policy of Illinois State University to comply with all United States Export Control laws and regulations, including, but not limited to, those implemented by the Department of Commerce through its Export Administration Regulations (EAR) and the Department of State through its International Traffic in Arms Regulations (ITAR) as well as trade controls imposed by the Treasury Department through its Office of Foreign Assets Control (OFAC).

Background

United States Export Control laws and regulations are detailed and complex. These laws generally restrict the export and/or deemed export of certain restricted items, software, or information. (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.) The purpose of these laws is to restrict access to items or information that might be contrary to U.S. interests. Export Control laws regulate the content, destination, and recipient of exported items or information. In practice, the impact of Export Control laws is limited to a narrow set of issues and individuals. Despite the narrow scope, it is extremely important for the University, faculty and staff to comply with these laws to avoid significant penalties, including fines and criminal liability. This policy is designed to assist the University community in its efforts to comply with Export Control laws.

Purpose and Scope of Policy

The purpose of the Export Control policy is to facilitate compliance with all Export laws, to establish procedures for complying with Export Control laws, and to educate the University community on such laws, policies, and procedures. This policy requires actively managing and monitoring compliance with Export Control laws and authorizes the creation of procedures to administer major university functions related to export compliance.

Responsibility

It is each employee's responsibility to understand and comply with Export Control requirements related to his or her work and travel, and to ensure that no exports or deemed exports are made contrary to any of these regulations. An Export Control Officer, as designated by the Provost, will provide assistance and oversight to comply with Export Control requirements.

Applicability

Export Control regulations affect a broad spectrum of university functions including, but not limited to, admissions, human resources, international programs, academic research, sponsored programs, technology transfer, accounts payable, materials management, and procurement. Export Controls affect Illinois State University in a variety of areas/activities including: research, travel outside the U.S., contracting, hiring, and shipping.

An export or deemed export can occur through a variety of means, including:
• Shipping;
• Communication – Oral, written, or electronic communication (including emails);
• Procurement;
• Access to controlled research, information, or other controlled items;
• Visual inspections of any export controlled items, software, or information by a foreign national, whether in the U.S. or abroad;
• Hiring and or collaboration with the University by foreign nationals; and
• Travel.

All members of the Illinois State University community must consider whether Export Controls may apply before or when undertaking any of the following activities:

• Initiating any new research including in the following areas:  unfunded, funded, under a grant, or contractual;
• 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 Department'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, phone, mobile devices, and their associated software to another country;
• Taking any controlled items to another country;
• Exporting, releasing, transmitting, or allowing access to controlled research results;
• 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;
• Taking receipt of controlled materials from a third party, or
• 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.

*Not all persons born and/or raised in a U.S.-sanctioned country or other foreign country are subject to restrictions.  Individuals with questions should contact the University's Export Control Officer

Education and Awareness

Export Control training shall be provided by the University.  In addition, formal communication to faculty, staff, and students about Export Control policies and procedures shall be provided annually.

Consequences and Penalties

Failure to comply with these laws exposes both the employee and the University to severe criminal and civil penalties (fines and prison sentences) as well as administrative sanctions (loss of research funding and export privileges).  Civil and criminal sanctions, including fines and/or prison sentences for individuals violating Export Control and embargo laws, are substantial.  Fines and sentences can apply to the individual as well as the University.  Fines can range from $50,000 up to $1,000,000 per violation for individual and/or the University.  Prison sentences of up to 20 years may be imposed.