Export Control Roles and Responsibilities
The Export Control Manager (ECM) helps University personnel to understand and comply with federal export control regulations, including the International Traffic in Arms Regulations (ITAR), the Export Administration Regulations (EAR), and the regulations administered by the Treasury Department’s Office of Foreign Assets Control (OFAC). These laws govern the transfer of controlled technology and information to foreign countries and to foreign nationals within the U.S. (“deemed exports”). The purpose of export control laws is to provide for the national security of the United States by promoting regional stability, preventing the proliferation of weapons of mass destruction, advancing U.S. foreign policy objectives abroad, and protecting U.S. economic interests at home.
The University’s Export Control Manager is responsible for export control oversight, including the development of training, education and assessment tools, and the implementation of policies and procedures to promote the University’s ongoing compliance with export control laws.
The Export Control Manager reports to the Assistant Vice Chancellor for Research Services.
Principles, Standards, and Guidance
- Provides guidance, direction and oversight to assure adherence to federal export control regulations and sponsoring agency policies and procedures related to export controls.
- Disseminates information and develops procedures to facilitate compliance with export control regulations.
Education and Awareness
- Provides guidance to University personnel regarding compliance with export control regulations.
- Disseminates information and develops educational resources for the University community to raise awareness of export control issues.
Administration and Management
- Official point of contact with export control regulatory agencies
- Conducts export control reviews and restricted party screenings
- Assists in the determination of export license requirements and need for Technology Control Plans
- Submits export license, commodity jurisdiction, advisory opinion, and classification requests to federal agencies
- Recommends USCIS Form I-129 certification status for H-1B Visa applicants
- Coordinates with other University entities on export control issues
- Promotes a culture of compliance and oversees adherence to federal regulations and University and sponsoring agency policies and procedures related to export controls.
- Supports and endorses cooperation with University compliance efforts and reports instances of noncompliance to the appropriate institutional official.
Cooperation Among Entities
Many entities and individuals across the University have responsibilities related to export controls.
Faculty and Principal Investigators (PI) will have primary responsibility for assuring that their research and other activities comply with export control regulations. Faculty/PI responsibilities include:
- Understand how the Export Control Laws may affect their activities and when to call the University Export Control Manager (ECM) for Assistance.
- Assure that they and their staff are informed about export controls and the resources available to enable compliance.
- Prohibiting access by unlicensed foreign nationals to any controlled technology or controlled technical data that does not qualify for an exclusion to export control regulations. This may require compliance with a Technology Control Plan.
- When necessary, coordinating with the ECM to obtain an export license from the appropriate federal agency prior to employing foreign nationals on projects that are export controlled. If that license is granted with provisos, the PI must comply with the conditions of the license and assure that personnel with access to their laboratory also comply.
- Contacting the ECM for restricted party screening of travel destinations, shipping destinations, and potential collaborators and visitors as appropriate.
- Establishing and maintaining standards of export control compliance for their laboratory and the personnel under their direction.
Empowered officials represent Washington University in official export control matters such as registrations, commodity jurisdiction and classification requests, licensing, and voluntary self-disclosures. They have the authority to sign paperwork binding the university in proceedings with any agency with export control oversight. Washington University has three Empowered Officials.
Export Control Advisory Committee
The Export Control Advisory Committee (ECAC) provides guidance and makes recommendations to Senior University Officials and to the Export Control Manager on export control policies and procedures at Washington University. Members of the ECAC provide input on education and training, compliance programs and policy, technology and tool needs, and provide subject matter expertise in their areas of responsibility. They assist with development of export control compliance action plans and periodic program reviews, and facilitate communication throughout the University community about the importance of export control compliance. The ECAC is chaired by the Export Control Manager. Membership of the ECAC includes all three Empowered Officials and representatives of cooperating entities listed below.
The Export Control Manager also coordinates with
- Research Administration Services (RAS) to facilitate policies and procedures.
- Environmental Health and Safety (EH&S) on issues related to controlled biologicals.
- The Office of International Students and Scholars (OISS) to assess the need for deemed export licenses for foreign national students and scholars.
- The Office of Sponsored Research Services (OSRS) on various aspects of grants that may trigger the need for export licenses or involve other export control concerns.
- The Joint Office of Research Contracts (JROC) on export control concerns in contract agreements.
- The Office of General Council (OGC) on issues of export control compliance when appropriate.
- Purchasing to potentially identify purchases, shipments, or new vendors of concern.
- The University Compliance Office (UCO) on issues of education and compliance.
- The Office of Technology Management (OTM) on material transfer and license agreements with foreign parties.
- Information Technology (IT) on export control issues related to information technology and security.
- Human Resources (HR) on issues related to foreign staff and visitors when appropriate.
- Principal investigators and administrative staff to provide guidance and assistance with export control compliance.
Records and Reporting
- Creates, coordinates, and maintains records of export license applications, technology control plans, H-1B Form I-129 certification recommendations and other export control issues in accordance with federal regulations and University policies and procedures.