Export Control Compliance - Interim

Version 1 (Current Version)
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  • Version 1
PolicyREG01.15.08
TitleExport Control Compliance
CategoryGovernance and Administration
Sub-categoryGovernance - General
AuthorityChancellor
History

December 3, 2007; revised September 2014; revised and approved for placement in University Policy Manual January 2016

Contact

Office of Research Integrity and Compliance (252) 328-9474

Related Policies
Additional References

Export Administrations Regulations (EAR): 15 CFR 730-774

International Traffic in Arms Regulations (ITAR): 22 CFR 120-130

Office of Foreign Assets Control Regulations (OFAC): 31 CFR 501

UNC General Administration Compliance Website


1. Introduction


1.1 For reasons of national security and foreign policy Federal export control laws restrict the shipment, transmission and transfer of certain items, software, technology and services from the U.S. to foreign countries and individuals, as well as “deemed exports,” which are releases of controlled technology and software source code to foreign nationals located in the U.S. Foreign travel and the conduct of business with certain countries, entities, and individuals are also restricted by these laws.

Although many of the University’s activities may qualify for an exclusion from or exception to export control laws, other activities regularly undertaken at or on behalf of the University by faculty, staff, students, and volunteers may be restricted. Examples of activities that may be subject to export control laws include, but are not limited to, research activities and use of regulated technologies and equipment, hiring employees, student instruction, international collaborations and travel, mailing and shipping, purchasing, money transfers, and contracting. Failure to comply with these laws exposes both individuals 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).

2. Policy Statement

2.1 It is the policy of East Carolina University that all individuals employed by, enrolled at, or otherwise affiliated with East Carolina University, including, but not limited to, faculty, staff, CSS employees, post-doctoral scholars, students, visiting scholars, volunteers, or other persons or entities using university facilities or funds, comply with all United States Export Control laws and regulations, including the Department of Commerce’s Export Administration Regulations (EAR) (regulates “dual use items”), the Department of State’s International Traffic in Arms Regulations (ITAR) (regulates the production of “defense articles” and the provision of “defense services”), and regulations administered by the Treasury Department’s Office of Foreign Assets Control (OFAC) (affects commerce with embargoed countries and “specially designated nationals”) and this Regulation and the associated ECU Export Control Standard Operating Procedures (the “Export SOPs”) adopted by the Empowered Official (see 4.2 below).

2.2 Each individual shall review and understand export control requirements applicable to his or her duties or study at the University and shall not take any action that violates export control laws, this Regulation, or the Export SOPs.

3. Administrative Action

3.1 Violation of export control laws, this Regulation, or the Export SOPs may result in disciplinary action, up to and including, the imposition of serious sanctions, dismissal from employment, or expulsion from the University in accordance with applicable University policies regarding the same.

3.2 Individuals who have reason to suspect violations of this Policy shall contact their immediate supervisor in accordance with ECU Policy and applicable law.

4. Implementation

4.1 Empowered Official. The Vice Chancellor, Division of Research, Economic Development and Engagement will serve as the Empowered Official, as defined in the International Traffic and Arms Regulations, 22 CFR 120.25, and is empowered to sign export license applications or other requests for approval on behalf of ECU. The Empowered Official shall understand the provisions and requirements of the various export control statutes and regulations, and the criminal liability, civil liability and administrative penalties for violation of these statutes and regulations, including the Arms Export Control Act and the International Traffic in Arms Regulations, and has independent authority to:

4.1.1 Enquire into any aspect of a proposed export or temporary import by the University; and

4.1.2 Verify the legality of the transaction and the accuracy of the information to be submitted; and

4.1.3 Refuse to sign any license application or other request for approval without prejudice or other adverse recourse by the University.

4.2 Export SOPs. The Empowered Official has overall responsibility for the University’s compliance with export control laws. As such, the Empowered Official shall develop Export SOPs required to establish and administer the University’s export control program in compliance with applicable export control laws and regulations. The Empowered Official delegates to the Research Compliance Officer (RCO), Office of Research Integrity and Compliance, the responsibility for day-to-day administration of this Regulation and the Export Control SOPs.

4.3 Delegation of Authority. Except as expressly limited or directed by the Empowered Official, the RCO shall have the same powers and responsibilities as are granted in this Regulation to the Empowered Official. The RCO shall report annually to the Empowered Official by June 30 of each year on the state of the export control compliance program at the University. This report may include, among other information, suggestions for modifications to this Regulation or the Export Control SOPs, updates concerning material changes in the export control laws and their potential impact upon the University, and resource needs.

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