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Academic and Research Affairs

Export Controls and OFAC Regulations (I.A.2)

Volume I: Academic and Research Affairs
Chapter A: Education and Research
Responsible Officer: Vice President for Research
Responsible Office: Office of the Vice President for Research
Date Issued: February 15, 2010
Date Last Revised: November 18, 2011

TABLE OF CONTENTS

Statement of Policy
Reason for This Policy
Individuals and Entities Affected by This Policy
Who Should Know This Policy
Exclusions
Web Site Address for This Policy
Contacts
Definitions
Responsibilities
Procedures
Related Documents, Forms, and Tools
History and Updates
Appendix

STATEMENT OF POLICY

It is the policy of Purdue University (i) to comply with all Export Controls and OFAC (U. S. Department of Treasury Office of Foreign Assets Control) Regulations applicable to University activities, and (ii) to develop and maintain an EC Compliance program to enable Purdue Associates to understand and comply with these laws and regulations. No Purdue Associate may engage in any activity, or commit the University to engage in any activity, (i) that is prohibited by Export Controls or OFAC Regulations, or (ii) that requires a license or other agency approval under Export Controls or OFAC Regulations, unless such license or approval has been obtained.

REASON FOR THIS POLICY

The regulatory framework created by Export Controls and OFAC Regulations has evolved over many years in different contexts to address a wide variety of national security and economic policy goals. The laws and regulations are extraordinarily complex, applying to University activities in ways that may not always be obvious.

The reach and complexity of Export Controls and OFAC Regulations have been steadily increasing in response to threats such as global terrorism, the proliferation of dangerous weapons, and other complex geopolitical developments. The global scope of Purdue activity has also been steadily growing. The University welcomes students and scholarly visitors, and employs researchers, scientists, and other Purdue Associates, from countries throughout the world. Purdue engages in an enormous range of basic and applied research, often involving participation by foreign persons. Purdue Associates are engaged in activities and collaborations across the globe in furtherance of the University's mission and strategic plan. Purdue purchases items from, and ships or delivers items to, many different countries.

These activities can intersect with Export Controls and OFAC Regulations in many different ways. The primary focus of the EAR (Export Administration Regulations) is to control the export and re-export of commercial items—including commodities, software, and technology—that have both military and non-military uses. The Bureau of Industry and Security in the United States Department of Commerce oversees these regulations.

The ITAR (International Traffic in Arms Regulations), which are administered by the Directorate of Defense Trade Controls in the United States Department of State, are designed to control the export and re-export of defense articles, defense services, and technical data.

The Office of Foreign Assets Control administers the OFAC Regulations, which have been developed over the years to promote specific foreign policy and economic goals of the United States, primarily by blocking or restricting certain kinds of transactions (i) with designated individuals and entities, and/or (ii) with respect to dealings with individuals, entities, and governments in a number of different countries.

Prohibited or restricted exports may occur under each of these regulatory regimes through the release of technology or software to foreign persons, even if the release takes place within the United States, as well as by shipping or delivering items, technology, or software to other countries. For example, it is possible for technology to be exported under these regulations by allowing a foreign person to participate in research in a lab in Indiana. While most university research is considered to be fundamental and therefore not subject to Export Controls, the possible applicability of these laws must be considered in various situations in which a sponsor imposes restrictions on publication or use of research results if export controlled technology or software is involved.

Various parts of the OFAC Regulations may be violated simply by purchasing from or selling to, or hiring or entering into collaborative relationships with, individuals or entities (i) from certain countries, or (ii) who are engaged in a variety of activities deemed to be contrary to defined national interests. Violations can occur in connection with transactions taking place entirely within the United States.

Penalties for violations can be quite severe, potentially including large fines and imprisonment. This policy recognizes the need to enable Purdue Associates to understand and comply with these laws and regulations. In addition, creating and implementing an EC Compliance Program meeting federal guidelines can also mitigate the severity of any fines or penalties that might be imposed.

INDIVIDUALS AND ENTITIES AFFECTED BY THIS POLICY

All Purdue Associates are potentially affected by this policy, depending upon the nature of their University duties and activities.

WHO SHOULD KNOW THIS POLICY

  • Trustees
  • President
  • Chancellors
  • Vice Chancellors
  • Vice Presidents
  • Vice Provosts
  • Deans
  • Directors
  • Department Heads/Chairs
  • Faculty
  • Other Purdue Associates with responsibilities relating to research, hiring, purchasing and other contracting, shipping, and/or international travel

EXCLUSIONS

There are no exclusions from this policy.

WEB SITE ADDRESS FOR THIS POLICY

www.purdue.edu/policies/academic-research-affairs/ia2.html

CONTACTS

Subject Contact Telephone E-mail/Web Address
Policy Clarification Export Controls Officer (765) 494-6840

DEFINITIONS

EAR
The Export Administration Regulations, 15 C.F.R. Parts 730-774, as amended from time to time.

EC Compliance Program
The program to be developed in furtherance of this policy by the ECO and the EC Working Group, to enable Purdue (i) to identify university activities that are subject to, (ii) to educate Employees concerning, and (iii) to comply with, Export Controls and OFAC Regulations.

ECO
The Export Control Officer appointed jointly by the EVPT, Provost, and Vice President for Research.

EC Working Group
The group to be appointed jointly by the EVPT, Provost, and Vice President for Research to assist the ECO in developing and implementing an EC Compliance Program tailored to Purdue's activities and needs. Representatives will be drawn from units most affected by Export Controls and OFAC Regulations as follows:

  • Provost or his or her designee
  • EVPT or his or her designee
  • Chancellor of each regional campus or his or her designee
  • Vice President for Ethics and Compliance or his or her designee
  • Vice President for Human Resources or his or her designee
  • Vice President for Information Technology or his or her designee
  • Vice President for Physical Facilities or his or her designee
  • Vice President for Research or his or her designee
  • Vice President for Student Services or his or her designee
  • Vice Provost for Engagement or his or her designee
  • Controller
  • Dean of International Programs
  • Director of Sponsored Programs
  • Director of Purchasing
  • Director of Treasury Operations
  • Director of Audits
  • Faculty members with knowledge and experience in the area

EVPT
Purdue’s Executive Vice President for Business and Finance, Treasurer.

Export Controls
The EAR, the ITAR, their enabling statutes, and other federal regulations and enabling statutes controlling the export and re-export of goods, services, and technology, including in some circumstances releasing technology, technical data, or software or providing services, to foreign persons wherever located. Other United States agencies, including but not limited to the Nuclear Regulatory Commission, the Department of Energy, and the Patent and Trademark Office, also administer regulations controlling the export and re-export of commodities and technology within their jurisdictions.

ITAR
The International Traffic in Arms Regulations, 22 C.F.R. Parts 120-130, as amended from time to time.

OFAC Regulations
The blocking and sanctions regulations administered by the Office of Foreign Assets Control in the United States Department of the Treasury, 31 C.F.R. Parts 500-598, as amended from time to time.

Provost
Purdue’s Executive Vice President for Academic Affairs, Provost.

Purdue, University, and Purdue University
Any campus, unit, program, association, or entity of Purdue University, including but not limited to Indiana University-Purdue University Fort Wayne, Purdue University Calumet, Purdue University North Central, Purdue University West Lafayette, Purdue Cooperative Extension Service, and College of Technology Statewide.

Purdue Associate
An individual who is employed by, an agent of, or is affiliated with Purdue University. Examples of Purdue Associates include, but are not limited to, officers, faculty, postdoctoral research associates or research scientists, fellows and visiting scholars, undergraduate and graduate students, any person helping to conduct research at Purdue, and all other Purdue employees, wherever located and whether full-time, part-time, or temporary.

RESPONSIBILITIES

EVPT, Provost, and Vice President for Research
Jointly appoint the ECO and the remainder of the EC Working Group. 

ECO
Chair the EC Working Group.

With advice and assistance from the EC Working Group, develop an EC Compliance Program.

EC Working Group
Advise and assist the ECO in developing and implementing an EC Compliance Program.

PROCEDURES

The ECO, with advice and assistance from the EC Working Group, will develop an EC Compliance Program to do the following:

  1. Identifies Purdue activities that are or may be subject to Export Controls and OFAC Regulations.
  2. Periodically educates and trains Purdue Associates involved in such activities regarding the controls and regulations applicable to their duties.
  3. Establishes procedures to detect and prevent violations.
  4. Assigns responsibility for effective implementation of the program to appropriate officers and senior managers.
  5. Includes reasonable measures to avoid allowing anyone with a history of illegal conduct to have responsibilities for compliance with Export Controls and OFAC Regulations.
  6. Establishes procedures for Purdue Associates to seek guidance regarding possible violations without fear of retaliation
  7. Includes any other provisions or procedures determined to be appropriate by the EC Working Group. 

The ECO and EC Working Group also will develop procedures as part of the EC Compliance Program to enable Purdue Associates to understand and comply with Export Controls and OFAC Regulations and to otherwise administer this policy to achieve its purposes.

RELATED DOCUMENTS, FORMS, AND TOOLS

Frequently Asked Questions Related to Export Control Regulations:
www.purdue.edu/research/vpr/rschadmin/rschoversight/export/index.php

Electronic Code of Federal Regulations:
ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&tpl=%2Findex.tpl

HISTORY AND UPDATES

November 18, 2011: Policy number changed to I.A.2 (formerly VIII.6.1) and website address updated.

November 1, 2010: This policy supersedes the interim version dated February, 15, 2010.

February 15, 2010: This is a new interim policy.

APPENDIX

There are no appendices to this policy.