Research Export Control Policy

Policy number17-53
Responsible officeResearch
Enforcement officialExport Control Officer
ClassificationBoard of Trustees-delegated Policy
Category17. Research and Intellectual Property

Statement of policy

To establish the means to ensure Western Michigan University’s research compliance with U.S. export control laws regulating certain transfers of technology to foreign nationals as well as the physical export of hardware and software. Violations of the Export Control laws could result in the potential loss of all federal funding, significant monetary fines, and loss of export. Additionally, violations of export control laws could subject individuals to significant monetary fines and lengthy prison sentences.

Summary of contents/major changes

This policy provides clear definitions of the terms used in research export control program compliance. It includes the titles and responsibilities of key personal and the authorities vested in them to ensure compliance with the rules and regulations. It includes a requirement to obtain Office of Vice President for Research approval and any required licenses or technology control plan prior to engaging in export controlled activities. The legal consequences of non-compliance are provided as well the sanctions that could be administered to individuals failing to comply with the rules, regulations, procedures, guidelines, and standard practices.

Note: This policy only pertains to export control related to research and research-related activities. This policy does NOT pertain to business or financial transactions under the auspice of the Vice President for Business and Finance. For export control questions or concerns related to non-research related business or financial transactions, contact the Office of Business and Finance.

1. Purpose of Policy

Federal rules and regulations require Western Michigan University (WMU) to assure that information, technology, software, hardware, and equipment is not released to foreign persons. The Research Export Control Policy sets forth the means by which the University complies with applicable rules and regulations. The Research Export Control Policy further stipulates the duties and responsibilities for the development, implementation, and oversight to ensure the compliance.

2. Stakeholders Most Impacted by the Policy

This policy applies to all personnel (employees, faculty, students, research staff, contractors, visitors, and collaborators) engaged in research, projects, activities, compensating foreign persons or international travel conducted under the auspices of Western Michigan University whether the activities are conducted on or off campus.

  • 2.1. These include projects, facility use, or use of university resources whether the research is funded or unfunded.
  • 2.2. This would also include the mere presence of a foreign researchers, visitors, or students in a university laboratory, if the laboratory contains equipment or technology that is export controlled, and the foreign individual can learn information about the controlled technology or information that is not in the public domain.
  • 2.3. It is the responsibility of faculty and administrators to be aware of and comply with the law relative to their work, students assisting them in their work or research, agreements and collaborations with others, and foreigners who may have access to their research or labs to ensure no exports are made contrary to law and the University’s policies, procedures, guidelines, and instructions regarding U.S. export controls.
  • 2.4. International travelers when travel is in conjunction with University activities.

3. Key Definitions

  • 3.1. Export. (15 CFR 734.13 and 22CFR 120.17) The transfer of any item (i.e., any commodity, software, technology, or equipment) or information from the U.S. to a foreign destination or provided to a foreign person here or abroad.
    • 3.1.1. Some examples of export activities include: the shipment of items; visual, written or oral communications; hand-carrying items when traveling; providing access to or visual inspection of equipment or facilities; or providing professional services.
    • 3.1.2. An export can occur by the mere presence of a foreign researcher or student in a university laboratory, if the laboratory contains equipment or technology that is export controlled, and the foreign individual can learn information about the controlled technology or information that is not in the public domain.
    • 3.1.3. Dissemination of research results at international conferences may require specific prior approval of the awarding agency.
  • 3.2. Deemed Exports. (15 CFR 734.13, 22 CFR 120.17, and 22 CFR 120.19) The transfer of controlled technology to foreign persons, usually in the United States, because the transfer is deemed to be to the country where the person is a resident or a citizen. Examples of how such technology may be released for export are:
    • 3.2.1. Providing drawings, blueprints, etc. to a foreign national during the course of a research project.
    • 3.2.2. Conversations with foreign persons, whether face to face or via telephone or email.
    • 3.2.3. Collaboration with foreign persons/interns/consultants.
    • 3.2.4. The application to situations abroad of personal knowledge or technical experience acquired in the United States.
    • 3.2.5. Access to shared network drive that contains controlled technologies.
    • 3.2.6. An export can occur by the mere presence of a foreign researcher or student in a university laboratory, if the laboratory contains equipment or technology that is export controlled, and the foreign individual can learn information about the controlled technology or information that is not in the public domain.
  • 3.3. Foreign person. (15 CFR 772.1 and 22 CFR 120.16)
    • 3.3.1. Any natural person who:
      • 3.3.1.1. Is NOT a U.S. citizen, or
      • 3.3.1.2. Is NOT a lawful permanent resident of the U.S. (as defined by 8 U.S.C. 1101(a)(20), i.e., does not have a green card), or
      • 3.3.1.3. Does NOT have refugee or asylum status (as defined by 8 U.S.C. 1324b(a)(3)).
    • 3.3.2. Any corporation, business, business association, partnership, society, trust, or other entity that is NOT incorporated or organized to do business in the U.S.
    • 3.3.3. Includes international organizations, foreign governments, or any agency of a foreign government.
    • 3.3.4. Synonymous with Foreign National
  • 3.4. For additional definitions, see the Administrative Controls for Research Export Control Compliance procedure which can be found on the WMU Research webpage under Conduct complaint research (https://wmich.edu/research/complaince.)

4. Full Policy Details

  • 4.1. Duties of those responsible for the Research Export Control Program
    • 4.1.1. Executive Management Team is comprised of the President, Provost, Vice President for Research, and the Associate Vice President for Research.
    • 4.1.2. Executive Manager (Associate Vice President for Research)
      • 4.1.2.1. The Executive Manager administers the Export Control Policy and has been given the authority (Empowered Official) and means to ensure compliance.
      • 4.1.2.2. Make prompt decisions regarding mitigation of an unlicensed export and/or increasing controls to prevent unlicensed export controls without having to consult with higher management, particularly in case of notifying proper authorities.
      • 4.1.2.3 Has the authority to alter, modify, suspend, or terminate any research in which an export violation has occurred or could occur.
      • 4.1.2.4. Support the Export Control Officer (ECO).
    • 4.1.3. Export Control Officer (ECO) - Research
      • 4.1.3.1. Reports to the Executive Manager and is responsible for the development, maintenance, and enforcement of the WMU Export Control Program.
      • 4.1.3.2. Serve as a liaison and empowered official between WMU and all regulatory agencies on matters pertaining to export controls.
      • 4.1.3.3. Direct the sub-programs and procedures that comprise the Export Control Program.
      • 4.1.3.4. Review and approve submitted export control reviews.
      • 4.1.3.5. Maintain all documentation required by the Export Control Program.
      • 4.1.3.6. Direct and/or conduct the phases of corrective actions to prevent recurrence of incidents involving export control violations or near-misses.
    • 4.1.4. Researchers/Principle Investigators (PI)
      • 4.1.4.1 Responsible for complying with all rules, regulations, procedures, and policies that govern export control.
      • 4.1.4.2. Determine if the research falls under applicable export control requirements for information, hardware, software, equipment, and/or technology or seek guidance if unsure.
      • 4.1.4.3. Notify the ECO of any violations or deviations from the rules, regulations, procedures or policies.
      • 4.1.4.4. Assist the ECO in investigating, determining the cause of, developing corrective action, and implementing actions to prevent recurrence of violations or near-misses of export control laws or practices.
      • 4.1.4.5. Ensure that individuals working on or with access to research projects subject to export controls are properly supervised and trained in export controls and comply with all WMU export control rules, regulations, procedures, and policies.
    • 4.1.5. Director of Technology and Innovation Advancement, Office of Vice President for Research, is responsible for assisting the ECO and reviewing contracts and agreements for projects that may be subject to export controls.
    • 4.1.6. Research Contract Administrator, Office of Vice President for Research, (RCA) is responsible for assisting the ECO and reviewing contracts and agreements for projects that may be subject to export controls.
    • 4.1.7. Office of General Council will review and address legal issues related to export control within contracts and agreements.
  • 4.2. Research Export Control Program will consist of:
    • 4.2.1. Procedures, guidelines, and practices to ensure all WMU research is conducting in compliance with export control laws and regulations.
    • 4.2.2. Documents necessary to demonstrate compliance with export control laws and regulations.
    • 4.2.3. Defined process(es) for the timely review of submitted requests for export control requirements.
    • 4.2.4. A process for record keeping and auditing (internal and external).
  • 4.3. Prohibited exports.
    • 4.3.1. International Trafficking in Arms Regulations (ITAR) controlled items.
      • 4.3.1.1. Waivers to pursue an export license may be granted by the Vice President for Research or empowered officials on a case-by-case basis.
    • 4.3.2. Any restricted item (i.e., any commodity, software, technology, or equipment) or information without a properly obtained license from the appropriate U.S. government agency.

5. Accountability and Consequences of non-compliance

  • 5.1. Legal Consequences to the individual performing the export:
    • 5.1.1. Potential loss of all federal funding and loss of export privileges.
    • 5.1.2. Significant monetary fines.
    • 5.1.3. Lengthy prison sentences.
  • 5.2. Local Consequences to the individual performing the export:
    • 5.2.1. Because of the serious consequences to university and national security, the ECO shall take prompt and decisive action when dealing with individuals who do not comply with the Export Control Policy and procedures.
    • 5.2.2. The ECO will document violations and deviations of the rules, regulations, procedures, and policies that govern export controls.
    • 5.2.3. The ECO shall determine and document the sanctions, if any, necessary to prevent recurrence.
    • 5.2.4. Sanctions that may be given by the ECO in the order of severity, least to most:
      • 5.2.4.1. Meeting with the ECO, the AVPR, and the individual; may also include the VPR and/or Provost.
      • 5.2.4.2. Restrict or increase oversight of research in export control regulated areas.
      • 5.2.4.3. Terminate the privilege to conduct export control regulated area research.
      • 5.2.4.4. Recommend the termination of employment.

6. Review Process

  • 6.1. This policy shall be reviewed no less than every three years.

7. Related Procedures and Guidelines that comprise the Export Control Program

8. FAQs

Can be found on the WMU Research webpage under Compliance (https://wmich.edu/research/compliance).

Related Policies

Inviting International Visitors to WMU – Director of Immigration Services

References

  • 15 CFR 730-780, Export Administration Regulations (EAR) Bureau of Industry and Security (BIS), Department of Commerce
  • 22 CFR 120-130, International Traffic in Arms (ITAR), Department of State
  • 31 CFR 500-599, Office of Foreign Assets Control (OFAC), Department of Treasury
  • 10 CFR 810, Assistance to Foreign Atomic Energy Activities, Department of Energy
  • 21 CFR 1312, Importation and Exportation of Controlled Substances, Drug Enforcement Administration, Department of Justice

History

Effective date of current version January 15, 2019
Date first adopted September 12, 2000, presented at the June 23, 2000 Board of Trustees meeting
Proposed date of next review January 2022
Revision history October 30, 2008; May 1, 2018; January 15, 2019

History

Effective date of current version
Date first adopted
Proposed date of next review

Authorization

Certified by

Terri Goss Kinzy, Vice President for Research, Office of the Vice President for Research

At the direction of

Vice President for Research