Administrative Policies

AD89 University Export Compliance Policy

Policy Status: 

Active

Policy Steward: 

Vice President for Administration

Contents:

  • Purpose
  • Background
  • Policy
  • Procedures
  • Further Information
  • Cross References
  • PURPOSE:

    To establish the parameters for compliance with the various federal laws, regulations and guidelines commonly referred to as "Export Controls" in all operations of the University, including research, academic and general business activities.

    BACKGROUND:

    The United States Government ("USG"), in an effort to promote national security and to protect the public policy and fiscal interests of the nation, has established certain laws and implemented certain regulations and guidelines to restrict, prevent and/or inhibit access to certain information, materials, equipment, services and/or financial resources by or for the benefit of unauthorized foreign nationals.  These laws, regulations and guidelines are often collectively referred to as "Export Controls."

    While most activities conducted on campus are excluded or exempted from the application of USG Export Control laws, regulations and guidelines, certain activities create the potential for direct and/or indirect violation of such laws, regulations and guidelines. These complex rules and regulations may impact significant portions of the efforts of University faculty, staff and students as they pursue the research, academic and/or business goals of the institution. In considering the potential impact of Export Controls on University activities, it is important to remember that the term "Export", as used in these laws and regulations, is very broadly defined to encompass many activities, such as the mere access to controlled information, materials or equipment by Foreign Persons in the United States, not typically considered to be an export.

    POLICY:

    In accordance with AD88, it is the policy of the University to comply with all applicable U.S. laws, including any and all relevant and applicable laws, regulations or guidelines governing the export of goods, information or services.  To facilitate such compliance, the University has directed and empowered the University Export Compliance Officer ("UECO") to develop and maintain an export compliance management program that is designed to assist University employees, faculty, students, trainees, visiting scientists, and other persons (herein referred to as "University Persons") in conducting all University activities in accordance with USG Export Controls.

    Specifically, University Persons may not engage in any of the following potentially export controlled activities, unless authorized in advance as noted below:

    • Engage in any action, activity or conduct prohibited by the Export Administration Regulation (EAR), the International Traffic in Arms Regulation (ITAR) or the Office of Foreign Asset Controls (OFAC) regulations, or any other government agency regulations or guidelines designated for the enforcement of applicable export laws;
    • Transfer, release or provide access to any controlled item listed on the Commerce Control List (CCL) or United States Munitions List (USML), including, but not limited to, any controlled technology and technical data, to any Foreign Person without the prior review and written approval of the UECO; or,
    • Undertake any Foreign Transaction in association with any Embargoed Destination or Restricted Party/Person without the prior review and written approval of the UECO.

    Determinations concerning the application of, and ability to comply with, any relevant USG Export Controls may be obtained by requesting an export review to be completed by the UECO, or, for sponsored research activities subject to RA40 and/or RAG40, by contacting the Office of Sponsored Programs.  Such determinations, at a minimum, must be completed prior to any of the following Foreign Transactions:

    • Traveling internationally;
    • Engaging in science or technology-based research which involves the direct or indirect participation of any Foreign Persons, including any access to or use of research facilities by Foreign Persons as part of the research efforts;
    • Executing contracts or other agreements with Foreign Persons or which contain specific export compliance obligations,
    • Purchasing of any high-technology devices or software, or
    • Engaging in any other activity that may be directly affected by specific and identified USG Export Controls.

    USG Export Controls are subject to change at the discretion of the USG agencies tasked with enforcement of these complex laws. It is the duty of all University Persons to be constantly evaluating their activities against the current policies and procedures of the University as they apply to USG Export Controls.  Assistance from the UECO, including targeted training and educational resources designed to help University Persons keep current with current export compliance procedures and obligations of the University, is available upon request.

    Questions regarding export compliance at the University may be directed to the UECO, in the University Office of Ethics and Compliance, via email correspondence addressed to Export@psu.edu.  Additional information about export compliance in general may be found at the UECO website.

    PROCEDURES:

    Current procedures for review and/or approval of any Foreign Transaction may be found at the University Export Compliance Office website and in ADG09 – Export Compliance Definitions, Procedures and Implementation Guidelines.  Additional guidance, direction or assistance regarding any such current procedures may be obtained from the UECO and/or the University's Empowered Officials.  Use of any forms provided to facilitate such reviews is recommended to enable timely and consistent review of all impacted Foreign Transactions.  Training on current procedures is available by contacting the UECO at Export@psu.edu.

    FURTHER INFORMATION:

    For questions, additional detail, or to request changes to this policy, please contact the UECO at Export@psu.edu.

    CROSS REFERENCES:

    Other Policies in this manual should also be referenced, especially the following:

    AD67 - Disclosure of Wrongful Conduct and Protection From Retaliation

    AD88 - Code of Responsible Conduct

    ADG09 – Export Compliance Definitions, Procedures and Implementation Guidelines 

    RA40 - Compliance with Federal Export Regulations for Sponsored Research Efforts

    RAG40 - Guidelines for Ensuring Compliance with Export Control Policy RA40

    Effective Date: June 22, 2015
    Date Approved: June 15, 2015
    Date Published: June 22, 2015

    Most recent changes:

    •  

    Revision History (and effective dates):

    • June 22, 2015 - New policy.