Export Controls Policy

Op4.01-3 Export Controls Policy

1. Scope  This policy applies to all University supported activities conducted by faculty, staff, and students at Missouri State University and Missouri State University --WP (University); and whenever University funds, equipment, data, or other resources are used for activities involving foreign governments, foreign individuals, or otherwise create an export control risk.
   
   
2. Policy Statement  The University is required to comply with Missouri law and all U.S. export control laws and regulations, including the Export Administration Regulations (EAR) implemented by the Department of Commerce, the International Traffic in Arms Regulations (ITAR) implemented by the Department of State, and regulations implemented by the Treasury Department through its Office of Foreign Assets Control (OFAC). It is the responsibility of all University faculty, staff, students, and visiting scholars, to be aware of the export control risk associated with their University activities and to comply with the laws and regulations that apply to their activities.
   
   The Director of Research Compliance in the Division of Community and Global Partnerships along with the Provost as the Institutional Official will oversee compliance with all export control matters to achieve compliance with Missouri law and U.S. export control laws and regulations, and will facilitate the procurement of all required export licenses. Any questions regarding transactions, or license applications regarding EAR, ITAR, OFAC, or other state/federal regulations should be directed to the Director of Research Compliance.
   
   
3. Definitions. For the purpose of this Policy, the following terms have the following meaning:
   
   Commerce Control List (CCL) – A list of items under the export control jurisdiction of the Bureau of Industry and Security, U.S. Department of Commerce. Technology or other controlled items subject to the Export Control Regulations (EAR) but not specifically enumerated on the CCL are considered EAR99 and are restricted, in most cases, from export to countries/regions subject to U.S. Comprehensive Sanctions. The CCL can be found in Supplement 1 to Part 774, Title 15 of the CFR.
   
   Controlled Unclassified Information (CUI) - Information defined in the Executive Order 13556 as information held by or generated for the federal government requiring safeguarding and dissemination controls as mandated by law, regulation, or government-wide policy that is not classified under Executive Order 13526 or the Atomic Energy Act. Federal CUI is divided into categories and subcategories and is listed in the CUI registry, managed by National Archives and Records Administration (NARA). CUI is federal information not for public dissemination.
   
   Covered Defense Information (CDI) – A type of CUI that requires safeguarding or dissemination control by the Department of Defense (DOD) defined in DFAR clause 252.204-7012.
   
   Deemed Export – the release or transfer of controlled technology to a foreign person(s) in the United States is “deemed” to be an export to the foreign person(s)’ country or countries of citizenship or permanent residency, even though the release took place within the United States. Deemed export can occur through various means such as visual inspection of plans, oral briefings, or sharing of digital files.
   
   Export – (i) the actual shipment or transmission out of the U.S. (in any manner even temporarily); (ii) releasing or otherwise transferring export-controlled software, technology, or technical data to a foreign person located in the U.S. or outside the U.S.; or (iii) the performance of defense services (e.g. teaching, maintenance, tutorials, etc.) subject to the ITAR on behalf of, or for the benefit of, a foreign person or entity whether located in the U.S. or outside the U.S.
   
   Export Administration Regulations (EAR) – Export control regulations administered by the U.S. Department of Commerce, Bureau of Industry and Security (BIS). The EAR regulates exports, re-exports, and activities (goods and technologies) for both dual-use items (items that have both commercial and military or proliferation applications) and solely commercial items. Controlled items are identified on the CCL.
   
   Export Controls – The federal government’s use of regulations and licensing requirements to: i) manage exportation of commodities and information to foreign countries; ii) manage the sharing of commodities and information with foreign persons present in the U.S. and iii) to regulate transactions with sanctioned countries, individuals, and entities.
   
   Export License – An official document from a federal agency to proceed with the export of specific, restricted goods or technology. MSU’s Office of Research Compliance will help apply and obtain such licenses.
   
   Foreign Assets Control Regulations - Regulations administered by the Office of Foreign Assets Control (OFAC) in the U.S. Department of Treasury, that: i) enforce economic and trade sanctions to protect U.S. national security and foreign policy interest and ii) prevent U.S. persons from conducting transactions with targeted individuals, organizations, or countries involved in activities such as terrorism, narcotics trafficking, or weapons proliferation.
   
   Foreign Person – A) a natural person who is not: i) a lawful permanent resident of the U.S.; ii) a citizen of the U.S.; or; iii) an individual who has been granted political asylum or other protected status by the federal government; or B) any foreign government or foreign corporation or group that is not incorporated or organized to do business within the United States.
   
   International Traffic in Arms Regulations (ITAR) - Regulations administered by the U.S. Department of State, Directorate of Defense Trade Controls (DDTC) primarily to control the import and export of defense articles, defense services, and related technical data.
   
   Reexport – The shipment or transmission of an item subject to EAR from one foreign country (other than the U.S.) to another foreign country. Reexport can also occur when there is a release of technology or software subject to EAR in one foreign country to a national of another foreign country.
   
   Technology Control Plan (TCP) – A document that outlines the safeguards for protecting sensitive or controlled information, data, or equipment from unauthorized access.
   
   U.S. Munitions List (USML) – A list of defense-related articles, services, and technical data controlled under ITAR regulations under the jurisdiction of DDTC.
   
   U.S. Person – Any person who is a U.S. citizen, lawful permanent resident, or a protected individual; and entities that are incorporated or organized to do business in the U.S. under U.S. law. Also includes federal, state, and municipal governmental entities in the U.S.
   
   
4. Required Outreach to Director of Research Compliance
   
   All University personnel must contact the Director of Research Compliance prior to engaging in any of the following activities:
   
   
   • Traveling outside the United States with controlled data (including data on laptops and cell phones);
   • Traveling outside the United States with export-controlled equipment owned or leased by the University;
   • Accessing data remotely from a foreign country;
   • Collecting data in a foreign country;
   • Sharing export-controlled data with a foreign national;
   • Hosting international visitors on a U.S. Government Restricted Party List or from an embargoed or sanctioned country;
   • Collaborations or transactions associated with any embargoed country or restricted party/person;
   • Shipping tangible items, materials, biologics, or scientific equipment internationally;
   • Engaging in project or research involving:
     • Federal restrictions or limitation on publication or dissemination;
     • Confidential or proprietary information of a technical nature under a non-disclosure or confidentiality agreement;
     • Restrictions on foreign person participation;
     • Research related to military or defense articles; space related information; nuclear, chemical, and biological weapons; unmanned vehicles; encryption technologies; or other ITAR items listed on the S. Munitions List (USML).
   • Performing work under an RFP/Agreement/Contract that is marked “Export Controlled” or includes export control provisions.
     
     
   When faculty, staff, or students of the university engage in research involving export-controls, CDI, CUI, or dual-use, a TCP shall be implemented and approved prior to beginning research. Additional training of personnel may also be required.
   
   
5. Sanctions. Faculty, staff, students, and visiting scholars subject to this policy that are found to be in violation of this policy may be subject to sanctions relating to the individual’s employment (up to and including immediate termination of employment in accordance with applicable university policy); the individual’s studies within the university (such as student discipline in accordance with applicable university policy); and/or civil or criminal liability.