Personal tools
Navigation
Tools

Export Controls Compliance

From Appalachian State University Policy Manual

Revision as of 19:14, 25 September 2013 by Deaskc (Talk | contribs) (Scope)

Jump to: navigation, search

Policy 217

1 Introduction

1.1 Appalachian State University ("the University") is dedicated to the transmission and advancement of knowledge and understanding. In furtherance of this mission, the University supports faculty efforts to collaborate with international colleagues in the conduct of fundamental research and works to provide opportunities for foreign researchers and students to participate in University research projects.

1.2 The University must pursue its mission in accordance with applicable export laws. The United States Federal government has issued regulations restricting the “export” of specially designated items from the United States without an export license. These regulations include the Export Administration Regulations (EAR) promulgated by the Department of Commerce; the International Traffic in Arms Regulations (ITAR) published by the Department of State; and travel embargo and sanction programs enacted by the United States Treasury Department’s Office of Foreign Assets Control (OFAC).

1.3 These regulations define “export” broadly as a transfer of an item, information or software to a foreign person, foreign entity or foreign destination. A deemed export is a transfer or release of technology or source code to a foreign national in the United States. Deemed exports, like exports, are subject to all applicable export control regulations. Examples of exports and deemed exports include: 1) actual shipment of controlled items outside the United States, 2) sharing source code, technical data or technical assistance with a foreign national inside or outside of the U.S. by verbal, written, electronic or visual disclosure, and 3) carrying export controlled items abroad.

1.4 Some types of information and software are not subject to export control regulations. Published information and software that is generally accessible to the interested public is not subject to export controls unless it is used in the provision of a defense service or is associated with encryption software. Similarly, instruction in courses and teaching laboratories listed in a course catalog are also exempt from export control regulations.

1.5 The results of fundamental research are usually excluded from export controls. As defined in National Security Decision Directive 189, the term “fundamental research” means basic and applied research in science and engineering, the results of which ordinarily are published and shared broadly within the scientific community, as distinguished from proprietary research and from industrial development, design, production, and product utilization, the results of which ordinarily are restricted for proprietary or national security reasons. If there are restrictions on publication of the research or restrictions on the participation of foreign persons in the research, the fundamental research exclusion does not apply and the research will probably be subject to export control regulations. The fundamental research exception under export control regulations does not extend to the shipment of articles, materials, supplies or equipment to a foreign country. Furthermore, the disclosure of controlled technology and software to a foreign national during the course of fundamental research is subject to export controls.

1.6 Although exports may be subject to export regulations, most exports do not require export licenses. In order to determine whether an export requires an export license, the technical specifications, destination, end user and end use of the export must be reviewed. The following exports will likely require an export license:

  1. The materials, technology or data have real or potential military applications or economic protection issues.
  2. There are government concerns about the country of destination or about the host organization or individual(s).
  3. There are government concerns about the declared or suspected final use or final user of the export.

1.7 Travel to embargoed countries, as well as shipment, transport, or provision of equipment, goods, services, or information to embargoed countries and individuals, will typically require an OFAC license if permitted at all. In some cases, it may take 4 to 6 months to secure an export license from the federal government.

1.8 Export control laws and regulations can have significant implications for scholarly activities and research, and must be considered when conducting activities involving foreign countries or Foreign Nationals/Persons.

2 Scope

2.1 This policy applies to all persons employed by the University, to all students and to any other person or entity using facilities, staff or funds subject to control or supervision by the University. This document, as amended from time to time, shall be deemed to constitute part of the conditions of employment of every employee, including student employees, and of the conditions of admission, enrollment and attendance of every student of the University.

3 Definitions

3.1 Definition phrase or word

Definition summary


4 Policy and Procedure Statements

4.1 Example policy 1

4.2 Example policy 2

5 Additional References

6 Authority

7 Contact Information

8 Effective Date

9 Revision Dates