Created 01/2013
Introduction and Purpose
As part of its mission to create and transmit knowledge through research, education and patient care, Washington University strives to maintain a diverse and vibrant academic community that welcomes foreign researchers and encourages international collaborations for the general advancement of human knowledge. In its Policy on Open Research And Free Dissemination of Ideas and Information, the University affirmed its belief that this mission is best served by fostering a culture of academic freedom that promotes the free exchange of ideas and encourages the broadest possible dissemination of knowledge and information through a wide array of research, teaching and clinical activities both within the United States and abroad.
The university also recognizes that the United States government has a legitimate national security interest in limiting the proliferation of certain defense-related technologies and the dissemination of technical data relating to those technologies. The regulations enacted by the federal government in furtherance of these interests include the Export Administration Regulations (“EAR”), 22 CFR § 120-130, the International Traffic in Arms Regulations (“ITAR”), 15 CFR § 730-774, and the various embargo and sanction regimes administered by the Treasury Department’s Office of Foreign Assets Control (“OFAC”) (collectively, the “Export Control Laws”). Of particular importance in the university setting, the Export Control Laws apply not only to the physical export of technology overseas, but also to the deemed export of controlled technical information to foreign nationals within the United States.
The university recognizes the importance of maintaining an effective and comprehensive export compliance program that can readily adapt to the changing demands of an evolving regulatory environment. The purpose of this Export Control Policy And Compliance Statement is to affirm the University’s commitment to compliance with the Export Control Laws; to promote faculty and staff awareness of the Export Control Laws as they relate to University activities; to provide general guidance on the University’s obligations under the Export Control Laws; and to identify the resources available to assist faculty and staff in meeting the objectives of this policy statement.
Applicable Regulations
International Traffic in Arms Regulations (ITAR)
The International Traffic in Arms Regulations (ITAR) (22 CFR § 120-130) are regulations administered and enforced by the U.S. Department of State that govern the export of defense articles, defense services, and related technical data of an inherently military nature. The United States Munitions List (USML) defines twenty-one broad Categories of technologies controlled under the ITAR(22 CFR § 121.1). In assessing the export control status of technologies potentially subject to the ITAR, faculty and staff should be mindful that the USML Categories define ITAR controlled technologies in broad enough terms to encompass virtually any technology designed, modified, configured, or adapted for military use (as well as certain sensitive technologies that are controlled without regard to their intended use).
Export Administration Regulations
The Export Administration Regulations (EAR) (15 CFR § 730-774) are administered and enforced by the U.S. Department of Commerce and govern the export of dual use technologies having both military and civilian applications. The technologies controlled under the EAR are listed in the Commerce Control List (CCL) (15CFR § 738, Supp.1). Unlike the broad Categories of technology controlled under the ITAR, the CCL defines EAR controlled technologies with detailed specifications and assigns to each an Export Control Classification Number (ECCN), which must then be compared to the Commerce Department’s Country Chart (15 CFR § 738, Supp. 1) to determine the controls applicable to a given country. In assessing the export control status of dual use technologies, faculty and staff should be mindful that the CCL controls a variety of technologies (such as lasers, optical lenses, biological agents and imaging devices) whose military application may not be immediately apparent.
Office of Foreign Asset Control (OFAC)
The U.S. Department of the Treasury’s Office of Foreign Asset Control administers and enforces economic and trade sanctions against certain foreign countries, organizations, persons and regimes designated by Congress as threats to the national security, foreign policy or economy of the United States. A current list of nations subject to U.S. sanctions (along with regulatory guidance) is available at the OFAC website. Although U.S. sanctions vary by country, virtually all transactions with (and, in some cases, travel to) the comprehensively embargoed countries such as Cuba, Iran, North Korea, Sudan, and Syria are prohibited. In addition, the Department of the Treasury publishes lists of Specially Designated Nationals (SDN) with whom virtually all transactions are prohibited.
Scope
This policy applies to all Washington University investigators, faculty, staff, visiting scientists, postdoctoral fellows, students, scholars and any other person working at or for Washington University. The policy sets forth the basic responsibilities that all such persons must meet in conducting their research, teaching, clinical or other activities at or on behalf of the university.
Policy Statement
It is Washington University’s policy, as stated in its Code of Conduct, to comply with all relevant laws and regulations applicable to the University or its activities, including the Export Control Laws. No university personnel, including faculty, staff, visiting scientist, postdoctoral fellows, students, scholars, or any other person working for or at Washington University, may transfer any controlled items, services, information or technology in violation of the Export Control Laws or in violation of the policies and procedures implemented by the University as part of its export compliance program.
It is the university’s policy to assure compliance with the Export Control Laws by conducting its research and other activities under the Fundamental Research Exclusion to the Export Control Laws. The university may therefore decline any research project or other activity that would involve contractual restrictions on the university’s right to publish its research, or that would restrict participation by foreign nationals, or that would otherwise jeopardize the university’s right to conduct its research and other activities under the Fundamental Research Exclusion. All projects subject to such restrictions will be reviewed on a case-by-case basis by the Vice Chancellor for Research and the Dean of the relevant School to determine whether the risk of an export control violation can be adequately managed by obtaining an export license from the appropriate federal agency or by implementing physical and informational safeguards to prevent unlicensed foreign nationals from accessing the export controlled technology. Under these specific conditions, a restricted research project or other activity may be acceptable to the University. Such exceptions must be approved in advance by the Vice Chancellor for Research.
For those activities that fail to qualify for an exception or exclusion to the Export Control Laws, it is the policy of Washington University to take all reasonable precautions necessary to prevent unlawful access to ITAR- and EAR-controlled technologies by non-U.S. persons. Investigators will take all measures prescribed by law or required by the University’s Export Control Manager to prevent unlicensed foreign nationals from gaining access to ITAR- and EAR-controlled technology, including, when appropriate, the development and implementation of a Technology Control Plan to document the safeguards the University has put in place to prevent such access. When an export-control license is required by law, no research or other activity will commence until the license is obtained.
Roles and Responsibilities
Export Control Manager
The University’s Export Control Manager (ECM) will be responsible for export control oversight, including the development of training, education and assessment tools, and the implementation of policies and procedures to assure the University’s ongoing compliance with the Export Control Laws. The ECM will work in partnership with faculty and administrators to assure that the University’s export compliance procedures adequately address the University’s obligations under the Export control Laws. When appropriate, the ECM will assist faculty in obtaining export control licenses for foreign nationals working on export controlled projects, or assist them in developing a Technology Control Plan to restrict unlawful access to such technologies. The ECM will also undertake such other compliance activities as are authorized under the ECM’s Delegation of Authority.
Provost
The University Provost will be the Institutional Official and Empowered Official for all export compliance purposes.
Faculty & Investigators
University investigators and faculty, in consultation with the ECM, bear primary responsibility for assuring export compliance for all their research, teaching, clinical or other University activities. The specific export responsibilities for investigators and faculty are set forth in the University’s Export Control Roles and Responsibilities document, as are the roles and responsibilities of the University’s administrative offices, area specific compliance offices and other University offices and personnel. Any questions regarding the University’s export control policy or the University’s expectations under the Roles and Responsibilities should be directed to the ECM at OVCRExportCompliance@wustl.edu.
Central Administrative and Compliance Offices
Each central administrative and area specific compliance office will be responsible for assuring the University’s export compliance with respect to that specific office’s areas of control or responsibility. The ECM shall work with each such office to develop internal export control procedures. The internal procedures may be modified from time to time as is necessary to assure the University’s ongoing compliance with the Export Control Laws.
For a more detailed description of roles and responsibilities please see the Roles and Responsibilities page.
Additional Considerations
Export Control Licenses
Faculty may on occasion engage in research or other activities that require foreign nationals to have access to ITAR- or EAR-controlled technologies. In all such cases an export license must be obtained from the Department of State or Department of Commerce prior to allowing foreign nationals access to the controlled technology or controlled technical information. Faculty should be aware that the application process can take from three to six months, depending on which agency has jurisdiction, the nature of the technology, and the foreign national’s country of origin. There are no guarantees that a license will be granted. Inquiries about the licensing of foreign nationals should be directed to the Export Control Manager (ECM) at OVCRExportCompliance@wustl.edu.
Transactions with Sanctioned and Other Countries
U.S. trade sanctions may limit the University’s ability to collaborate with persons and entities in certain embargoed countries. In particular, faculty will consult with the ECM prior to dealing with any persons or entities in comprehensively embargoed nations such as Cuba, Iran, Syria, North Sudan and North Korea. The shipping of items or transmittal of technical information to persons or entities in the embargoed countries is almost categorically prohibited and should not be undertaken without consulting the University’s Export Control Manager. Travel to embargoed countries is allowed, if at all, only under exceptional circumstances. Further guidance on specific embargoes and sanctions can be found on the OFAC website.
Travel & Shipping
It is the responsibility of faculty and departmental personnel to assure that all international travel and physical shipments abroad comply with the Export Control Laws. In assessing the export control implications of such activities, faculty should remain mindful that seemingly routine activities, such as carrying controlled technical data on a laptop (or other electronic storage media) to an overseas destination, or disclosing controlled technical data at a closed conference abroad, may constitute a violation of the Export Control Laws. Any doubts about the export-control status of a proposed trip or export should be resolved in favor of contacting the ECM at OVCRExportCompliance@wustl.edu.
International Communications and Deemed Exports
It is the responsibility of all University personnel, including faculty and staff, to assure that all communications of technical information comply with the Export Control Laws. In assessing the export compliance implications of such communications, faculty should remain mindful that even informal communications of controlled technical information to collaborators abroad can constitute a violation of the Export Control Laws, as can communications of controlled technical information to foreign nationals within the United States (i.e., “deemed exports”). Any doubts about the export-control status of a proposed communication should be resolved in favor of contacting the ECM at OVCRExportCompliance@wustl.edu.
Education and Audits
The Export Control Manager will develop and make available educational materials to assist faculty and investigators in meeting their obligations under the Export Control Laws. The Export Control Manager may also require formal export control education and training for investigators, faculty, and staff who will have access to export controlled technologies in the course of their work. The Export Control Manager and other appropriate compliance offices will have the authority to conduct periodic audits of university research and other activities to assure the University’s ongoing compliance with the Export Control Laws.
Sanctions
Violations of the Export Control Laws carry significant criminal and civil penalties for both the University and its investigators. Criminal penalties include up to ten (10) years’ incarceration and fines ranging up to $1,000,000 per violation. Violations may also debar the University from receiving future federal funding. In addition to governmental penalties, the failure by University personnel to comply with the Export Control Laws, or with the University’s export compliance procedures, may result in a recommendation for sanctions by the University, Dean, or Vice Chancellor for Research.
Approved January 31, 2013