Policy on Classified and Restricted Research
Policy Number: ORS-7100-001
Policy Title: Policy on Classified and Restricted Research
Vice Chancellor/Associate Chancellor: Vice Chancellor for Research
Unit Responsible for Policy: Office of the Vice Chancellor for Research
Effective Date: May 16, 2017
Contacts: Export Controls Compliance Officer
Policy Statement: It is the policy of the University of Illinois at Chicago (“UIC” or the “University”) to comply with all U.S. export control laws and regulations.
Consistent with that requirement, it is also the policy of UIC to maintain and encourage full freedom within the law of inquiry, discourse, research, and publication and protect any member of the academic staff against influences, from within or without the University, which would restrict the member’s exercise of these freedoms in the member’s area of scholarly interest.
Toward that end, UIC shall not accept any grant or contract involving Classified or Restricted Research, and unless prohibited by law, no restriction on participation in research may be based on one’s country of origin or citizenship. No Classified or Restricted Research may be undertaken in the name of the University, or using UIC facilities or resources, except as permitted in this policy, other UIC policies, or the General Rules.
The following are exceptions to the prohibition against Restricted Research:
- Technical testing agreements (General Rules, Article II, Section 8);
- The waiver by faculty members of their rights to publish or retain data in circumstances where publishable results are unlikely and where no student publication rights are involved;
- Faculty consulting agreements;
- Delay of up to six months in submission for publication to allow a sponsor time to file a patent application; and,
- Agreements approved by the UIC Office of the Vice Chancellor for Research (OVCR), upon written proposal of the principal investigator prior to an application for funding, if possible, and if not, prior to acceptance of an award. The written proposal shall set out the circumstances of the research, identify fully the impact of the award on publication rights and students, and suggest remedial measures to minimize any adverse impact. Such agreements shall be subject to all University of Illinois standard contract requirements.
The following are exceptions to the prohibition against Classified Research:
- Projects which involve off-campus access to classified information and which are authorized by a University of Illinois agreement with the Department of Defense or other applicable federal agency or department.
- Upon approval of the UIC Provost, and in response to an imminent threat to national security that is documented by a government sponsor, UIC may waive or modify any provision of this policy regarding Classified Research. Any waiver shall be allowed for the shortest possible period, have a clear sunset provision, and be granted only if the principal investigator establishes that all regulatory requirements for handling and safeguarding classified material, including appropriate security clearances, have been met.
Traveling abroad may trigger export control considerations or implicate U.S. trade and economic sanctions. How these laws and regulations apply depends upon the international destination(s), the non-U.S. persons and/or entities involved, and what items and information are being taken out of the United States. These factors must be assessed for every international trip to determine if an export license is required to support the travel. Although most international travel will not require an export license, due diligence is still required to identify the travel that will require a license.
Reason for Policy: This policy outlines the responsibilities of UIC community to comply with federal export control laws and regulations, and reiterates UIC’s commitment to academic freedom and inclusivity.
Failure to comply with U.S. export control laws and regulations can result in both criminal and civil penalties. Any violation of this policy may also result in disciplinary action, up to and including termination of employment and academic dismissal.
Minority Impact Statement: This policy does not have any disproportionate or unique impact on UIC’s minority students, staff, or faculty.
Who Should Read the Policy: This policy applies to all members of the UIC community, including all UIC faculty, staff and students.
Definitions: Definitions of key terms used in this policy, as well as other definitions relevant to U.S. export controls and trade and economic sanctions, may be found below.
- Classified Research: Any research that carries a security classification under U.S. law.
- Restricted Research: Restricted Research is any research subject to U.S. export controls, including research for which a sponsor limits free access to, participation in, or dissemination of, the work or the results. Restricted Research includes, but is not limited to: 1) unclassified research that a government agency labels “sensitive,” “non-releasable unclassified,” or other similar designation; 2) research for which the sponsor requires a delay in submission of the result for publication in excess of six months from submission of the final report, or requires advance unconditional approval of the manuscript; 3) research under which a student’s right to publish a thesis or dissertation is delayed more than six months, or a student’s right to future use of acquired skills or knowledge is abridged; or 4) research under which a post-doctoral employee’s right to publish a manuscript or other scholarly work is delayed more than six months, or such employee’s right to future use of acquired skills or knowledge is abridged.
- University: Refers to UIC.
Procedures: View the procedures related to implementation of this policy.
Resources: Visit the OVCR Export Controls webpage for more information regarding export controls at UIC.
Related Laws, Regulations, Statutes, and Policies:
- U.S. Department of State Directorate of Defense Trade Controls
- International Traffic in Arms Regulations (ITAR)
- U.S. Department of Commerce Bureau of Industry and Security
- Export Administration Regulations (EAR)
- U.S. Department of the Treasury Office of Foreign Assets Control (OFAC)
- OFAC Country List
- View a complete list of federal departments and agencies that have export control responsibilities.
Document History: This policy replaces the University of Illinois at Chicago Policy on Classified and Restricted Research dated March 9, 2003.
Approved by: Committee on Policy
Approval date: May 16, 2017
Approved as: Updated Policy