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Export Compliance for CMU Faculty and Staff

Introduction

This website is a work in progress and designed to provide guidance to Carnegie Mellon University ("University") personnel in the application of the various United States export regulations to University activities. Applicable laws and regulations include the Export Administration Regulations ("EAR") established under the U.S. Department of Commerce, the International Traffic in Arms Regulations ("ITAR") established under the U.S. Department of State, and the embargo controls administered by the U.S Department of the Treasury's Office of Foreign Asset Controls ("OFAC").

Carnegie Mellon's Core Principles  

It is the goal of the University to allow faculty to explore their research interests and disseminate their research results. It is also a goal to allow faculty to collaborate with their international colleagues in the conduct of fundamental research and to allow foreign researchers and graduate students to participate in University research projects. We believe that the pursuit of these goals necessitates a free and open academic environment, as emphasized in our Policy on Restricted Research (http://www.cmu.edu/policies/documents/RestrictResearch.html).

University Compliance with Export Laws

The University understands that educational pursuits must be carried out in accordance with applicable laws and regulations, including those related to export controls. Although the vast majority of activities pursued by the University and its personnel are not subject to export control restrictions or licensing requirements, each member of the University community needs to be familiar with export control and embargo restrictions to ensure that the appropriate guidance is sought and actions taken should a situation arise in which such restrictions are applicable.

What is an export? 

An export is an actual shipment or transmission of items, services, or technical data subject to either the EAR or the ITAR out of the United States, or release of technology, software, or technical data subject to either EAR or ITAR to a foreign national in the United States.  Technology, software, or technical data is "released" for export through:

  • visual inspection by foreign national of U.S. origin equipment and facilities,
  • oral exchanges of information in the United States or abroad,
  • transfer or shipment via any means (physical or electronic) to a foreign entity

  • providing a service, or the application to situations abroad of personal knowledge or technical experience acquired in the United States

Is My CMU Research or Activity Subject to Export Controls?

That depends on many factors like type of research, participants nationality, NDA's, acceptance of export controlled information, etc.  To help you get an idea, below are a few basic questions that can help identify whether export controls may be triggered.  This is not an all inclusive list but does cover some primary areas of concern.

 Does your research or activity involve:

  • Collaborating with foreign colleagues in foreign countries?
  • Hand carrying export controlled items to foreign countries (e.g. laptops, GPS, unpublished technology or technical data)?
  • Travel to Cuba, Iran, North Korea, Syria or Sudan?
  • Shipping any physical item(s) including software and/or transmission of technical data to a  foreign country?
  • Participation of a foreign person from Cuba, North Korea, Syria, Sudan or Iran?
  • Any documents (RFP, NDA, contract, award) marked "Export Controlled"?
  • Any agreements with export control language?
  • Sponsor pre-approval rights over publications?

  • Sponsor placing any restrictions on or reporting of, foreign national participation?

    If you answer yes to one or more of the questions above, please contact Sheryl Trexler, Export Compliance Officer, at strexler@andrew.cmu.edu or 268-2841 for assistance and guidance.

Why should I be concerned about export controls in conducting research? 

The university campus is open to students and faculty from many different countries. Access to restricted or export controlled technology, commodities, defense articles and defense services by an unauthorized foreign person could result in severe criminal or civil penalties for the university and the university employee making the export. Prosecution of an export violation may result in fines of up to $1M and/or a prison sentence of up to 20 years.

What are the PI's or Researcher responsibilities? 

In coordination with the Office for Sponsored Projects (OSP), the Export Compliance Officer in the Research Regulatory Compliance Office (RRCO) and the Principal Investigator should conduct a thorough review of the research project and contract provisions to determine whether and, if so how, a particular research project is impacted by the regulations. The University will assist PIs in assessing the application of such regulations, but primary compliance responsibility rests with the principal investigator of the research.

Principal Investigators have the following responsibilities:

  • prior to commencing any research, to review and cooperate with OSP an RICO to determine whether your research is impacted by the controls or requirements contained within export regulations; and
  • to re-evaluate that determination before changing the scope or adding new staff to the project to determine if such changes alter the initial determination; and
  • to make export determinations far enough in advance to obtain a license, should one be required

  • to understand the severe consequences of non-compliance with export control laws (fine and/or jail)

Do export controls only apply to sponsored research?

No.  Export controls are U.S. laws that apply to all research and activities conducted at CMU whether funded or not.  Export controls may cross all academic fields including but not limited to engineering, psychology, biology, chemistry, decision sciences and education to name a few.

Export Forms, Fact Sheets & Guidance:

Foreign Travel Checklist for Faculty and Staff

Foreign Travel - Laptop Exemption "Tools of the Trade"

Technology Control Plan (TCP) Template

*The Export Compliance website pages are being designed and developed.  Please feel free to contact Sheryl Trexler, Export Compliance Officer, at strexler@andrew.cmu.edu or call 412 268-2841 if you have any questions or concerns about export controls or would like to know more about the new services offered.