Stevens Institute of Technology conducts research to advance knowledge, enhance student learning experiences, and build its reputation in the scientific and technical communities while fostering productive experiences for our sponsoring partners. While SIT endorses the principles of freedom of inquiry and open exchange of knowledge, the university is committed to compliance with export control regulations.
The export of certain technologies, software and hardware is regulated and controlled by Federal law for reasons of national security, foreign policy, competitive trade reasons and to prevent the spread of weapons of mass destruction. SIT and all its employees are required to comply with the laws and implementing regulations issued by the Department of State through its International Traffic in Arms Regulations ("ITAR"), the Department of Commerce through its Export Administration Regulations ("EAR") and the Department of the Treasury through its Office of Foreign Asset Controls ("OFAC").
World events dictate the increased need for security and vigilance over the technology controlled on the Department of State's United States Munitions List ("USML") and the Department Commerce's Commerce Control List ("CCL"). Accordingly, the importance and scrutiny for compliance with the regulations has increased and research contracts and agreements received by universities from sponsors, both Federal and non-federal, which contain export control provisions have increased significantly. Export control regulations apply regardless of the source of funding, both external and internal.
Although most research conducted on U.S. college and university campuses is excluded from these regulations under the Fundamental Research Exclusion, university research involving specified technologies controlled under the EAR and/or ITAR, or transactions and exchanges with designated countries, individuals and entities may require SIT to obtain prior approval from the appropriate agency before allowing foreign nationals to participate in controlled research, collaborating with a foreign company and/or sharing research - verbally or in writing - with persons who are not U.S. citizens or permanent residents. Export control regulations affect not only research conducted on campus, but also travel and shipping items outside the U.S. Simply traveling to certain sanctioned countries could require a license from OFAC. OFAC sanctions prohibit transactions and the exchange of goods and services in certain countries and with designated persons and entities. SIT is committed to export control compliance, and the export control compliance function within the Office of Sponsored Research is staffed to advise and assist faculty in conducting activities related to research and sponsored projects. More information regarding these and other regulations that impact university activities can be found at the Department of Commerce/BIS website; the Department of State/ITAR website; and the Department of the Treasury/OFAC website.
The objective of this EMCP is to ensure that our university's exports, deemed exports, re-exports, transfers, and activities are transacted consistent with all applicable federal requirements. Various departments have a role in the management of our export transactions and compliance with U.S. export laws and regulations. It is the university's expectation that each employee understands the standards described and the importance of creating a synergistic system to manage the overall export responsibilities. A vital part of an EMCP is the establishment of mechanisms within the university's daily operational procedures to provide safeguards for maintaining controlled technology. Such mechanisms help ensure that the right questions are being asked in order to preclude making shipments that are contrary to U.S. export controls, and therefore inconsistent with the university's and country's best interests.
A soundly implemented EMCP, coupled with good judgment, can greatly reduce the risk of inadvertently exporting to a restricted end-user, or for a prohibited end-use or activity.
To ensure the integrity of this system, individual feedback and suggestions for strengthening the procedures are encouraged. For questions and to send feedback and suggestions related to the EMCP procedures, please contact: Barbara DeHaven, Executive Director/Empowered Official, OSR, firstname.lastname@example.org, 201.216.8762.
The U.S. export control system generally requires export licensing for dual-use defense items, i.e., items that have both commercial and military applications, and for exports to sanctioned persons and destinations. U.S. national security, economic interests and foreign policy shape the U.S. export control regime. The export laws and regulations aim at achieving various objectives, such as preventing the proliferation of weapons of mass destruction, advancing the U.S. economic interests at home and abroad, aiding regional stability, implementing anti-terrorism and crime controls, and protecting human rights.
These controls generally restrict the export of products and services based on the type of product and the destination of the export. In both the defense and high-technology sectors, the U.S. Government tightly regulates the export not only of equipment and components, but also of technology. Technology includes technical data, such as blueprints and manuals, as well as design services (including the transfer of “knowledge”) and training. U.S. laws assert jurisdiction over U.S.-origin equipment and technology even after it is exported (i.e., restricting the re-export or re-transfer to third parties). In addition to general export licensing, the United States maintains economic embargoes against a number of countries whose governments consistently violate human rights or act in support of global terrorism. Such embargoes bar most transactions by U.S. persons with these countries.
Three principal agencies regulate exports from the United States: the U.S. Department of State Directorate of Defense Trade Controls (“DDTC”) administers export control of defence exports; the U.S. Department of Commerce Bureau of Industry and Security (“BIS”) administers export control of so-called "dual-use" technology exports; and the U.S. Department of the Treasury Office of Foreign Assets Control (“OFAC”) administers exports to embargoed countries and designated entities.
General Aspects of the University's Compliance Program
Where possible, the organizational structure of the university has centralized the key export functions and coordinated export activities with other departments that may become involved in export-related issues, i.e., legal counsel, shipping, university contracts, and sponsored research. Each export control task discussed in Section III (A) has a specific person assigned to perform the task and a specific person who is responsible for assuring that it is performed. Personnel assigned export control functions have been given authority commensurate with their responsibilities. Formal lines of communication between key personnel and other with export-related functions have been established. Underscoring its commitment to promote aggressive management of controlled technology by all Stevens' employees, university administration will hire, train, and motivate quality export compliance personnel. Compliance personnel must have a working knowledge of export control laws and regulations and be able to competently ensure the university's compliance through the effective management of its export management and compliance program. Export control personnel will have authority commensurate with their responsibilities, including authority to stop export transactions when warranted; and training, expertise and authority sufficient to safeguard the university against long-range legal implications that it risks through an ineffective export management and compliance program. Compliance personnel must not only possess the ability to discern the right thing to do but will be supported by university management and the university community.
COMPLIANCE TRAINING Training is one of the critical elements of the university?s export management and compliance program. Because export control regulations change and technologies and their end-users are continually evolving, it is essential for the university to include a training component the Export Management and Compliance Program. The greatest risk of non-compliance of export laws and regulations occurs during casual conversations in person, on the telephone, or via email. Informed users minimize the likelihood that inadvertent violations of export laws and regulations will occur. Ambiguities can lead to confusion which could contribute to an export violation.
An important component of the EMCP is the effective communication of policy and procedures to all employees. Anyone involved in export-related functions, including top management, faculty, staff, contractors, consultants, and even student workers should fully understand export compliance responsibilities as they might relate to their responsibilities. SIT will provide these employees with sufficient training in order to ensure they possess a working knowledge of current export control regulations as well as the specific requirements of the company's EMCP. By ensuring that function-specific elements are considered while developing the EMCP, SIT will develop and maintain a Program that is clearly understood by all employees. That understanding will include the awareness of the importance of their roles as it relates to the university and to the nation. The UECO will prepare updated training materials and will ensure that employees or students engaged in an export controlled project receive the appropriate briefing.
The UECO will also maintain records of training or briefings provided. General export control information and presentations will be available for the university community online at the following link: http://www.stevens.edu/osr/export/index.html
Academic deans, directors, or department heads will assist the UECO in implementing the export control training sessions or briefings relative to their respective schools, departments, centers, or institutes. In addition, the directors of other offices or units on campus including, but not limited to : Finance, Risk and Safety Oversight Task Force, Human Resources, International Programs, Academic Entrepreneurship, Travel and Systems Engineering Research Center (SERC) will assist the UECO in implementing the export control training sessions or briefings relative to their units.
EXPORT CONTROL ANALYSIS Export control analysis for sponsored research begins when a PI submits a proposal, receives an award, or changes the scope of an existing project.
References to U.S. export regulations (beyond a mere statement to comply with the law);
Restrictions on publication or dissemination of the research results;
Pre-publication approval from the sponsor;
Proprietary or trade secret claims on project results;
Involvement of foreign sponsors or collaborators;
Travel, shipping, or work performed outside the U.S.;
Military applications of the project results; or
Funding from the Department of Defense, the Department of Energy, the Army, the Air Force, the Office of Naval Research, NASA, the National Reconnaissance Office, or other U.S. defense related agencies