Ohio Administrative Code › Title 3339 - Miami University › Chapter 3339-15 - Human Subjects for Research › Section 3339-15-10 - Export control

Current through all regulations passed and filed through July 1, 2024
It is the policy of the university to
				comply with U.S. export control laws. Export control laws restrict certain
				types of information, technologies, and commodities that can be transmitted
				overseas to individuals, including U.S. citizens, or made available to foreign
				nationals on U.S. soil. It is the responsibility of faculty, staff, and
				administrators to be aware of and comply with these laws and follow the
				university's written instructions and procedures.
The export of certain items,
				technologies, software, and services is regulated for reasons of national
				security, foreign policy, prevention of the spread of weapons of mass
				destruction, and for competitive trade reasons. Prior written authorization (a
				license) from one or more U.S. government agencies will be required to carry
				out certain sponsored research or other educational activities involving
				specified technologies or certain countries, if an exemption or exclusion is
				not available.
Export control laws restrict the
				shipment, transmission, or transfer of certain items, technologies, software,
				and services from the U.S. to foreign countries, as well as deemed exports,
				which are releases of controlled technology and software source code to foreign
				nationals located in the U.S.
Although many of the university's
				activities are exempt from export control laws, some activities may be
				restricted. Failure to comply with these laws exposes both the employee 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). Criminal penalties for unlawful export and disclosure of
				information in violation of U.S. export control laws may include fines up to
				one million dollars and/or imprisonment up to twenty years. Civil penalties can
				be assessed up to two hundred fifty thousand dollars or two times the value of
				the transaction, whichever is greater, for each violation. The university and
				the individual(s) involved also may lose their ability to export in the
				future.
The U.S. department of state, through
				its international traffic in arms regulations (ITAR) of the directorate of
				defense trade controls (DDTC) and the department of commerce, through its
				export administration regulations (EAR) of the bureau of industry and security
				(BIS), regulates the export of certain technologies, information, and software.
				The U.S. export controls also apply to "re-exports" of items, software, and
				technology subject to U.S. law from one foreign country to another. In
				addition, the department of treasury, through its office of foreign assets
				control (OFAC), maintains targeted economic sanctions programs that restrict or
				prohibit a wide range" of export and other transactions which may include
				educational services involving designated countries, entities, and
				individuals.
Before engaging in activities that may
				involve an export, all faculty and staff must understand and identify any
				potential export limitations. A few examples of export control "triggers'
				include:
(A)
								where foreign nationals will participate in the
			 research;
(B)
								where the university will partner with a foreign
			 company;
(C)
								where the university hosts foreign visiting scholars
			 for the purpose of research that involves certain specified technologies
			 subject to export controls;
(D)
								where equipment
			 needed for experiments or research abroad will be exported (i.e., shipped or
			 accompanying the researcher/faculty member), including, for example, laptops,
			 gps equipment, other hand-held mobile devices, etc., or any device that
			 contains encrypted software.
While many university activities may be
				eligible for one of the EAR, ITAR, or OFAC exclusions, the university must
				document its analysis of export control issues, including the availability of
				any exclusion or exemption. The export control analysis should be undertaken
				with the assistance of the office for advancement of research (OARS). It is
				important to note that if a license will be required, this analysis must be
				done prior to engaging, or agreeing to engage, in the activity because the
				process for obtaining U.S. government approval is lengthy. In some cases, the
				university may decide not to accept funding for research containing export
				controls or restrictions, including, but not limited to, when there is
				insufficient time to obtain a license or to take appropriate measures to handle
				properly export-controlled information.
For detailed information about export
				control "triggers," activities that may present export-control issues, and
				these exclusions (e.g., fundamental research, educational information,
				published information and software, and the exclusion for fiilltime university
				employees) see the office for advancement of research (OARS)
				website.
If anyone employed by, acting on behalf
				of, or associated with the university receives information identified as
				"export controlled," the information may not be disclosed until the export
				control analysis has been completed to determine licensing requirements, if
				any, for such information. In addition, if an anticipated university research
				or educational activity involves a country subject to U.S. government
				sanctions, the faculty member or researcher will need also to consult with the
				director of technology transfer and business partnerships in oars before
				entering into any negotiations or agreements involving or before traveling to
				such countries.
Replaces: 3339-15-10