Export Control Compliance
New York Institute of Technology is committed to complying with U.S. export control laws and regulations, including the International Traffic in Arms Regulations (ITAR) administered by the Department of State, the Export Administration Regulations (EAR) administered by the Department of Commerce, and the specific economic and trade sanctions administered by the U.S. Department of the Treasury, Office of Foreign Assets Control (OFAC). The Director of Compliance with cooperation from the Senior Director of the Office of Sponsored Programs and Research and the Vice President of Internet Technology, CIO and CISO (Collectively, "The Export Controls Committee") identifies and manages export risks for national security and foreign policy reasons.
Export Controls are federal laws that govern the export, shipment, transmission, transfer, or sharing from the U.S. to foreign countries, persons, or entities of technology, technical data, technical assistance, and items or materials. The U.S. Department of State and the U.S. Department of Commerce each administer different export control regulations. Additionally, the U.S. government restricts travel to, and financial transactions with, certain countries, individuals, and organizations, including certain foreign universities and research institutes. Export Control laws prohibit the unlicensed export of certain commodities or information for national security and/or protection of trade reasons. The U.S. government imposes Export Controls to protect national security interests and promote foreign policy objectives. In addition, it also participates in various multilateral Export Control regimes dedicated to preventing the proliferation and destabilizing accumulations of weapons of mass destruction and related materials. Export Controls regulations apply to research and other activities regardless of the source of funding.
Teaching and information resulting from research at New York Tech are largely not subject to U.S. export control laws because they result from fundamental research, are published and/or constitute information concerning general scientific, mathematical, or engineering principles commonly taught at a university. That said, the University may need to apply for and receive an export license if sending an export-controlled item out of the U.S. Also, situations may exist in which the University may need to apply for and receive a deemed export license and/or implement a technology control plan if receiving or developing export-controlled information (e.g. under a confidentiality agreement), or working with an ITAR-controlled item. Such a technology control plan must be reviewed by the Export Controls Committee and will include:.
- University commitment to export compliance
- Description of the export control item and/or information
- Project personnel (and restricted party screening)
- Physical security controls
- IT security controls
Work in the following areas is considered high risk:
- Space sciences
- Computer Science
- Biomedical research with lasers
- Research with encrypted software
- Research with controlled chemicals, biological agents, and toxins
Examples of controlled goods, technology, and software (list is not all-inclusive):
- Toxicological agents
- Nuclear materials and technology
- Lasers and Sensors
- Night vision equipment
- Select agents (and other pathogens)
- Arms and ammunition
- Explosives Detection Equipment
- Chemical warfare precursors
- Semiconductors and microprocessors
- Telecommunications and encryption software
- Missile technology
- Navigation and avionics
- Marine vessels
- GPS technology
- Countermeasure technology for controlled goods
- Endangered Species
- Body armor and protective gear
- Fingerprint and identification retrieval
- Gas centrifuges
- Mass Spectrometers
- High strength materials
For the purpose of export controls, the following are considered exports:
- Transfer of controlled items or information to people or entities outside the U.S, whether through physical means (e.g. shipment or hand-carrying) or through electronic or digital transmission (e.g. email or uploading).
- Verbal, written, electronic, and/or visual disclosures of controlled information to foreign nationals inside the U.S. (referred to as a "deemed export").
- Training or offering of services involving controlled equipment or information to foreign nationals.
- Transactions with, or providing services to, certain foreign countries or individuals who are on embargo lists.
There are different sets of regulations depending on the kind of export involved. These include the following:
- The Export Administration Regulations (EAR), administered by the Department of Commerce, regulates items that have a dual purpose, meaning both commercial and military applications (e.g nuclear materials, chemicals, microorganisms, toxins, electronics, computers, lasers). These regulations can be found on the Export Administration Regulation website.
- The International Traffic in Arms Regulations (ITAR), administered by the Department of the State, regulates munitions or defense articles and services (e.g. ammunition, ballistics, guidance and control equipment). These are maintained by the Directorate of Defense Trade Controls.
- The Office of the Foreign Asset Control (OFAC) of the Department of the Treasury provides regulations on trade sanctions, embargoes, and travel restrictions in designated countries. Please visit the Resources section of the OFAC website for additional guidance.
New York Tech researchers must contact the university's Director of Compliance and the Senior Director of the Office of Sponsored Programs and Research if a research project involves any of the following:
- Shipping/exporting controlled materials, supplies, or samples to other countries.
- Sharing information disclosed under confidentiality agreements with foreign persons, including students, staff, and faculty.
- Carrying controlled materials, samples, or GPS equipment in checked or carry-on luggage on foreign travel.
- Collaborating with a researcher or institution outside of the U.S., especially when that collaboration involves individuals or institutions from a sanctioned country or when sensitive information or equipment may be shared.
- Traveling outside of the United States on university business with New York Tech equipment or with high-tech equipment, confidential, unpublished, or proprietary information or data.
- Traveling outside of the United States to a country/region with comprehensive sanctions. Currently, these include the Crimea Region of Ukraine, Cuba, Iran, North Korea, and Syria.
- Hosting foreign persons from sanctioned or embargoed countries or taking them to New York Tech labs.
- Performing work under an RFP/Agreement/Contract that is marked "Export Controlled" or includes export control provisions.
- Exchanging unpublished research results or data with foreign persons located overseas or in the U.S. by any means, including email, file transfers, etc.
- Training a foreign person in the design, development, use, or testing of controlled equipment.
- Using third-party export-controlled technology or information.
- Providing professional consulting services overseas, especially to embargoed or sanctioned countries.
- Being involved in a project/research related to the military; space-related information; nuclear, chemical, and/or biological weaponry; missiles; unmanned vehicles; encryption technologies; or other items listed on the International Traffic in Arms Regulations (ITAR) U.S. Munitions List.
- You have reasons to believe a violation of export control laws or regulations has occurred.
Finding a list of export-controlled items:
The lists of controlled items and technology are extensive. The lists are dependent on the regulatory framework that describes them, and a few of them are listed below:
|Export Administration Regulations||Commerce Control List||15 C.F.R. § 774|
|International Traffic in Arms Regulations||U.S. Munitions List||22 C.F.R. § 121|
|Nuclear Regulatory Commission||Export and Import of Nuclear Equipment and Material||10 C.F.R. § 110.8-9a|
|Assistance to Foreign Atomic Energy Activities||Special Nuclear Materials||10 C.F.R. § 810|
Other Export Controls Resources
- National Institute of Health(NIH): Financial Conflicts of Interests and Foreign Components
- National Science Foundation (NSF): Research Protection
- Executive Office of the President (OSTP): Letter to the Research Community
- U.S. Dept. of Energy: Foreign Government Talent Recruitment Programs and International Science and Technology Engagement Policy
- Under Secretary of Defense: Letter for Universities
University Compliance Collaboration
Compliance with the export regulations is a shared responsibility and all individuals at New York Tech are expected to strictly adhere to all requirements. The Export Controls Committee reviews all export control matters and other university offices as appropriate. Principal Investigators should notify the Office of Sponsored Programs and Research of any changes in the scope of a project that includes any of the above-identified considerations.
Export control inquiries can be directed to Cheryl Monticciolo, Deputy General Counsel and Director of Compliance and Risk, at firstname.lastname@example.org.