Background and Objective
Syracuse University recognizes the importance of complying with all U.S. export control regulations and is committed to full compliance with these regulations.
In practice, these rules govern what research instruments, materials (including biologics), software, and technology that we, as a U.S. institution, can export (i.e., transfer) out of the country by any means; and what sensitive information, data, and technology we can share with foreign national individuals (visa holders) studying, researching, working in, or visiting our facilities. These regulations also inform what research and business partners we engage with to the extent that we must avoid U.S. government-restricted or prohibited entities (entities of concern from a national security, export control, or embargoed-country perspective).
How are these regulations enforced?
U.S. government export authorities strictly enforce export control through substantial civil and criminal penalties and sanctions, federal debarment, and revocation of export privileges. Agencies have audit authority and can mandate costly oversight protocols. In addition, because of the national security implications of export control, criminal and civil liability for violations can be enforced against an individual employee to whom an intentional violation is attributable, separate from our institutional liability.
How do we address these requirements at Syracuse University?
- Compliance Oversight
The export compliance program is facilitated and led by the Office of Compliance. The Office of Compliance is advised by the Office of University Counsel and is responsible for facilitating export compliance across all export-sensitive activities.
- In the event of a suspected compliance violation, the compliance team may suspend any transaction leading to (or causing) such suspected violation and will coordinate investigative and remedial efforts.
- Core Export Control functions
- Identification and negotiation of restrictive (publication and citizenship) clauses in sponsored agreements; post contract/grant export compliance administration and monitoring, including Technology Control Plans (TCPs) and export licenses; selectively screening research and contract partners against U.S. Government restricted party lists and watchlists
- Reviewing international MOUs and other institutional agreements for export control implications; coordinating the required export control certification process associated with H-1 and O-1 visa petitions, as well as the export control evaluation process associated with J-1 and F-1 scientific researchers; proactively selectively screening inter-institutional agreement parties against U.S. Government restricted party lists and watchlists
- Coordinating export control requirements and training with respect to biologics contained BSL 2 laboratories (biosafety)
- Proactively identifying export-controlled items being purchased that may, in certain circumstances, trigger foreign national access and use restrictions; vendor-restricted party and watch list screening
- Tracking the location and relocation of export-controlled items on campus
- Coordinating export control shipping, transferring, and access monitoring requirements with respect to certain chemicals, radioactive and laser equipment
- Developing data security protocols as required for export-sensitive projects, High Performance Computing systems, or in compliance with other federally mandated contract provisions
- Ensuring that SU avoids payment transactions with U.S. Government-restricted parties and entities
- Review of industry contracts and proprietary IP agreements for export control implications; review of NDAs and MTAs which potentially convey, respectively, export-controlled data and items; implementing safeguards associated with export controlled invention disclosures and ensuring that commercial licensees are screened against the lists of U.S. Government-restricted parties and entities
- MOUs/MOAs with International Institutions: When exploring research, academic, or exchange agreements with international institutions that would lead to an institutional Memorandum of Understanding (MOU), ensure that such parties are screened through the Visual Compliance screening program and proactively referred to the Office of Compliance for export control review of the international program.
- International Shipments: When shipping internationally, utilize the online International Shipping Request Form so that an export control license determination can promptly occur; where needed, an export control license can be obtained.
- Technology Sharing: Certain items used in fundamental research including instruments, software, biological materials (BSL-2 contained), and technical data may be export-controlled, even if the research itself is not otherwise publication or citizenship-restricted. Sharing export-controlled technology pertaining to such items with foreign national members of our community (visa holders studying, working, researching, or visiting in the United States or abroad) may constitute a “deemed” export requiring specific government authorization prior to sharing the technology. If such requirements are not already specified in a Technology Control Plan (TCP) or you are not sure about whether such requirements apply, seek guidance from the Office of Compliance.
- Visa Petitions: When hosting visa holders (e.g. J-1 visiting scholars, F-1 graduate research students, H-1 or O-1 employees) within export-sensitive science research environments, timely respond to the Visa/Deemed Export Questionnaire issued by Office of Compliance, respectively, that enables us to determine whether there are deemed export issues associated with the foreign national’s research work.
Government Regulatory Offices and Materials
- U.S. Department of Commerce – Bureau of Industry and Security (BIS)
- Export Administration Regulations (EAR)
- Commerce Control List (CCL)
- Recently Published Regulations
- U.S. Department of State – Directorate of Defense Controls
- International Traffic in Arms Regulations (ITAR)
- United States Munitions List (USML)
- U.S. Department of Treasury – Office of Foreign Assets Control (OFAC)
- Sanctions Programs and Country Summaries
- List of Specially Designated Nationals and Blocked Persons
Hosting International Visitors
The international nature of the University’s work creates opportunities where the University and its representatives may encounter individuals or entities that may be subject to limitations based on certain restrictions, controls, or sanctions. Similar to the process we have in place for screening emerging Academic Agreements with outside entities, we also screen international program participants prior to participation. Any individual or business with a foreign affiliation should be screened prior to visiting campus or participating in virtual programming. International affiliation is identified by the primary mailing address of the individual or business. Program participants that require screening include but are not limited to:
- Online program participants (MBA and certificate programs)
- In-person programs (executive education programs)
- Conferences and symposia hosted by Syracuse University
- Visiting faculty and/ or guests of the school/college
- Award recipients outside of enrolled students or employed faculty/staff
Please complete the International Partner Screening Request Form to request a screening.
- International Travel: When international travel involves the temporary or permanent transfer of research tools or samples (either by advance cargo shipment or through hand-carried baggage), complete our International Travel Form or contact the Office of Compliance for assistance in determining whether export control authorizations are required.
- Engagement With Sanctioned Countries: When planning any engagement with any person or entity located in an embargoed country (China, Cuba, Iran, Syria, Russia, etc.), proactively contact the Office of Compliance which will assist you in complying with OFAC requirements.
What constitutes an export?
According to federal law and regulation (Export Administration Regulations (EAR)) and International Traffic in Arms Regulations (ITAR), certain types of technology (see examples in the Commerce Control List) may not be exported to other specific countries, or may only be exported with a license.
Who is the “go-to” resource for help with Export Control?
Office of Compliance
621 Skytop Road, Suite 100
Syracuse, New York 13244
Export Control compliance is an essential protection for everyone in our health science community. Do not hesitate to seek guidance on an export control matter. If you become aware of a potential export control problem, report it immediately to the Office of Compliance or the confidential Syracuse University Compliance Ethics hotline.
The vast majority of export control violations are inadvertent: timely reporting of a suspected export control incident is the best mitigation of an inadvertent violation.
Thank you in advance for taking the time to understand and comply with these national regulations.