Purpose

To address the campus’ obligations to comply with federal export controls.

Scope

This policy applies to all members of the campus community, including but not limited to employees, tenure- and non-tenure-track faculty, lecturers, students, postdoctoral fellows, postdoctoral scholars, and other postdoctoral personnel, independent researchers, visiting scholars, visiting scientists, contractors, subcontractors, and volunteers.

Authority

Vice Chancellor for Research

Background

Federal export controls impact many activities on campus. These activities include, but are not limited to, researching, purchasing, acquiring, and/or developing items, technologies and information subject to export controls; research, employment, and academic activities involving Foreign Persons located within or outside the United States; the transfer, shipment and/or distribution of equipment, technology, or software outside the United States or with Foreign Persons wherever located; and international travel. Export controls may prohibit engaging in these activities altogether or may require obtaining a license or other governmental authorization prior to engaging in these activities.

Policy

All members of the campus community 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.

Research and other activities subject to export controls, or involving items and information subject to export controls, are generally allowed, provided that members of the campus community seeking to engage in these activities conduct them in compliance with, and abide by, the above-referenced laws and regulations, this policy and any procedures established by the Export Compliance Officer, and other university and campus policies, and any procedures established by other academic or administrative units with oversight over such activities. Allowed activities include, but are not limited to: researching, purchasing, acquiring, and/or developing items, technologies and information subject to export controls; accepting restrictions on the publication of the results of, or participation by Foreign Persons in research; international travel (including travel to embargoed countries); and collaborations with Foreign Persons, wherever located.

Failure to comply with this policy may result in disciplinary action, up to and including termination of employment. Failure to comply with export control laws and regulations may additionally result in civil or criminal penalties and reputational harm for individuals and the university.

Responsible parties

Empowered Officials for ITAR

The Chancellor will appoint at least one employee to serve as an Empowered Official for ITAR. At his or her discretion, the Chancellor may appoint more than one person to serve as an Empowered Official for ITAR. The employees appointed as Empowered Officials for ITAR may either share responsibility for all campus activities, or the Chancellor may divide responsibility for campus activities separately among the Empowered Officials for ITAR. Pursuant to 22 C.F.R. 120.25, an Empowered Official for ITAR has the following authorities and responsibilities that may not be delegated:

1. Signing applications for licenses and other requests for approval under the ITAR on behalf of the campus and campus personnel;
2. Taking appropriate measures to enforce this policy;
3. Reporting suspected export control violations to the cognizant federal authorities; and
4. Any other authorities and responsibilities enumerated at 22 C.F.R. 120.25.

Export Compliance Officer

The Chancellor has directed the Vice Chancellor for Research to develop and implement policies and procedures regarding the campus’ export control obligations. The Vice Chancellor for Research has delegated responsibility for the ongoing development and maintenance of these policies and procedures to the campus Export Compliance Officer. The Export Compliance Officer’s responsibilities include:

1. Serving as the primary contact for the campus community regarding this policy and export controls generally;
2. Determining the applicability of export controls to campus activities;
3. Coordinating applications for export licenses and related authorizations on behalf of the campus, and applying for or assisting the Empowered Official for ITAR with applying for, such licenses and authorizations;
4. Assisting campus personnel in developing procedures for securing and managing access to items and information subject to export controls, and approving such procedures;
5. Conducting training and providing other educational resources regarding compliance with this policy and with federal export laws and regulations;
6. Assisting academic and administrative units with developing procedures for complying with this policy and with federal export laws and regulations;
7. Performing periodic assessments of efforts to comply with this policy and with federal export laws and regulations; and
8. Investigating suspected export control violations, including violations of this policy.

Researchers

Researchers (including tenure- and non-tenure-track faculty; lecturers, postdoctoral fellows, postdoctoral scholars, and other postdoctoral personnel; independent researchers, students engaged in research; and visiting scholars) bear the primary responsibility for complying with export controls in the conduct of research and other activities in which they participate. Specifically, researchers are responsible for:

1. Disclosing to the Export Compliance Officer any activities or relationships that may require a Technology Control Plan or license, including without limitation:
   1. Research where the sponsor restricts publication or participation by Foreign Persons;
   2. Research intended to develop military, intelligence, or dual-use applications;
   3. Research, including fundamental research, involving the use of controlled items or information;
   4. Travel to embargoed countries for the purposes of conducting, presenting, or otherwise supporting research or establishing relationships on behalf of the university; and
   5. Exports of controlled items, including travel with controlled information, materials, or equipment, and deemed exports.
2. Disclosing to the Export Compliance Officer any suspected violations of this policy or of export controls;
3. Working with the Export Compliance Officer to appropriately identify, correctly categorize, and adequately secure the controlled technologies they use and produce;
4. Knowing and complying with the terms of funding awards and other agreements that impose export controls and limitations on publishing research data;
5. If deemed necessary by the Export Compliance Officer, developing a Technology Control Plan to manage access to controlled items and information;
6. Monitoring compliance with any applicable Technology Control Plan(s) for themselves and for any other faculty, staff, and students under their supervision; and
7. Working with the Export Compliance Officer to provide appropriate training for other faculty, staff, and students under their supervision regarding conducting research and participating in controlled activities in compliance with their regulatory and contractual obligations.

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.

Definitions

• Foreign Persons are any persons or entities who do not fall into one of the following categories:
  1. United States citizens;
  2. Lawful permanent residents of the United States;
  3. Refugees, asylees, and similarly protected individuals;
  4. Entities of the United States government, including both state and federal agencies; or
  5. 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.

Processes/Procedures/Guidelines

The campus procedures for complying with export controls, the Export Control Compliance Procedures and important contact information are available on the campus’ Export Compliance website, http://research.illinois.edu/regulatory-compliance-safety/policy-export-control.

For more information regarding exports, refer to:

• For export controls generally: www.export.gov
• For information on the EAR: www.bis.doc.gov
• For information on the ITAR: www.pmddtc.state.gov
• For information on the FACR: www.treasury.gov/resource-center/sanctions/Pages/default.aspx

Exceptions

There are no exceptions to this policy.

Contact

Export Compliance Officer, exportcontrols@illinois.edu