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EDUCATIONAL AND RESEARCH POLICIES COMMITTEE

Minutes of

March 26, 2010

MEMBERS PRESENT: Marcus Agustin, Chair, Rakesh Bharati, Medha Gautam, Christa Johnson, Craig Miner, Mariana Solares, G. Stacey Staples, Erin Timpe, Jianpeng Zhou

MEMBERS ABSENT: Liz Lebron

GUESTS: Jeff McLellan, Legal Counsel

I. Announcements

Associate Dean Christa Johnson announced that the Graduate School is sponsoring a technology exposition on March 30th at SIUE as well as the Annual Spring Symposium on March 31st. The symposium will feature a cultural tour of East St. Louis as part of the Eugene B. Redmond exhibit. The symposium will also include a panel regarding online teaching. Everyone is invited to the Chancellor's reception.

II. Minutes of February 12, 2010

Rakesh Bharati made a motion to approve the minutes as submitted; G. Stacey Staples seconded. The motion passed unanimously.

III. Continuing Business

A. Export Control Policy

Export control laws are administered by three Federal agencies: the Department of Commerce, the State Department, and the U. S. Department of Treasury. Export control laws concern the sharing of "dual use" (peaceful or non-peaceful) technologies with embargoed and other countries of concern to the U.S. Export laws extend to information that is shared with non-U.S. citizens on U.S. soil which is called "deemed export" in the regulations.

Last month, the committee requested a visit from a representative from Legal Counsel prior to passing the proposed policy. Christa Johnson gave an overview of the complex system of regulations.

Jeff McLellan commented that many universities are struggling with export controls compliance. SIUE has not yet conducted an audit.

Universities have historically relied upon the "Fundamental Research Exclusion" which states that information disseminated for public use is in the public domain and is therefore excluded. SIUE has also relied on fundamental research exclusion. However, restrictions on publication would destroy exclusion. In some cases, when SIUE conducts tests for companies the University does accept publication restrictions. The University needs to look at whether those projects need a license. ERP's goal is to create a policy, implement procedures and if possible, conduct a broad assessment.

Rakesh Bharati stated that the administration should convey a clear message to the faculty regarding compliance with this issue. McLellan said that the University needs to develop a decision tree to answer the question whether the fundamental research exception applies. McLellan added that research for public dissemination and class use is generally exempted.

Jim Zhou pointed out that the School of Engineering has large numbers of faculty and students from foreign countries. Some faculty attend international conferences, and there is an initiative to work with foreign countries to build joint graduate programs. He stressed the importance of bringing awareness to the faculty. He felt that departments should create policies at the department level to close the loop among students.

McLellan stated that protocol will be put into place in the future. A research proposal would be analyzed in a checklist. Any possible export control issues would be discovered at the front end of the decision-making process.

Johnson stated that training and assessment is required across the university. She added that corporations in the public sector have developed robust compliance programs since they have been subject to those regulations for decades.

G. Stacey Staples wondered how much time and how many personnel will be involved in the evaluation of research projects when SIUE begins addressing this issue. Johnson said that research intensive universities have export control areas but it should not be too onerous at SIUE. McLellan added that it will be expensive to create a bureaucracy to deal with this compliance issue, however it would be more expensive to ignore it.

Craig Miner questioned the meaning of the last sentence in the second paragraph of the policy section: "In addition, the Associate Provost for Research shall assist deans in the oversight of research conducted without external funding." What does it mean to "assist deans"? After deliberation, the committee decided to leave this sentence as it is, partly because it asks the deans to share responsibility for compliance.

McLellan suggested that the policy needs to establish who has administrative authority to deal with export control issues. Compliance should rest on one individual, for example, the Associate Provost for Research and Dean of the Graduate School.

Marcus Agustin expressed concern that the faculty will see the compliance officer as "Big Brother." McLellan pointed out that SIUE needs one administrator to interface with the federal agencies. This type of administrative procedure will help to protect faculty and graduate students.

Bharati suggested asking Mike Shaw, the chair of the Graduate Council, to present this policy to the Faculty Senate.

The committee concluded its meeting by thanking Mr. McLellan for sharing his expertise.

Rakesh Bharati made a motion to approve the policy; Erin Tempe seconded. The motion passed unanimously. The policy, as it will be submitted to the Graduate Council is:

U.S. Export Control Laws and Research at SIUE

Introduction

Southern Illinois University Edwardsville (SIUE) complies with all applicable Federal laws and regulations. Export control regulations, including the Export Administration Regulations (EAR) controlled by the U.S. Department of Commerce, the International Traffic in Arms Regulations (ITAR) managed by the U.S. Department of State, and the sanction regulations governing the transfer of assets governed by the U.S. Department of Treasury through its Office of Foreign Assets Control (OFAC), directly affect and regulate the activities of SIUE researchers.

Policy

It is the policy of SIUE that teaching, research, and service will be accomplished openly and without prohibitions or restrictions on the publication and dissemination of the results of academic and research activities, except as otherwise restricted by applicable policy, regulation, or law. Certain federal export control regulations require SIUE to obtain permission and/or a license from one or more federal agencies prior to sharing or communicating research information with or transferring research materials to non-U.S. citizens or to entities located outside the U.S.

The Associate Provost for Research administers export control regulation compliance at SIUE with the assistance, as needed, of other appropriate offices, including, but not limited to, the Office of General Counsel and the Emergency Management and Safety Office. Specifically, the Associate Provost for Research (1) maintains compliance with export control laws within sponsored projects administration, (2) educates researchers and department, school and central research administrators on export regulation compliance, and (3) provides a central point of contact for information and assistance in compliance for SIUE's research community. Proposals, research agreements and material transfer agreements under the administration of the Associate Provost for Research shall be reviewed for export control compliance. In addition, the Associate Provost for Research shall assist deans in the oversight of research conducted without external funding.

Restrictions on the use of foreign nationals in program requirements or contractual requirements impose stringent export control obligations on the University, including restrictions of access to laboratories and research data. To the extent that contract clauses are inconsistent with SIUE's policies on openness in research and nondiscrimination, such clauses will generally not be accepted. However, notwithstanding any policy or practice to the contrary, SIUE shall pursue its mission in teaching, research, and service in a manner consistent with the applicable export control regulations and by maximizing research opportunities that qualify for the public domain or fundamental research exemptions to those regulations. Those research projects that do not qualify for such an exemption must be submitted to the Associate Provost for Research for evaluation and consideration in consultation with the appropriate department head and dean. In any case where a federal export control license is required by law, the activity or research will not commence until the license is obtained.

IV. New Business

There was no new business.

V. Adjournment

The meeting adjourned at 2:17 PM.

Respectfully submitted,

Stephen L. Hansen
Associate Provost for Research and
Dean, Graduate School

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