L4: Compliance with Export Control Laws

Responsibility for Maintenance: Institutional Planning, Assessment and Research

Date of most recent changes: January 25, 2010  

I. Policy Statement  

Any transfer of controlled goods, services, information or technology, as set forth in the EAR, outside of the United States, or to foreign nationals inside or outside of the United States, including in particular but not limited to transfers to Cuba, North Korea, Iran, Syria and Sudan or to any foreign nationals of these countries, must be cleared with the Vice President of Institutional Planning, Assessment and Research.

II. Reason for Policy  

The export control laws require licenses for “Exports” of certain controlled goods, services, information and technology as set forth in the EAR. The term “Export” has an expansive definition under the applicable regulations, and may involve situations one would not ordinarily construe as “exporting.” It is imperative that faculty and staff proceed with caution when engaging in an “Export” of controlled goods, services or information, as defined in this policy. The College, as well as individual faculty or staff members, may be liable for civil and criminal penalties for violations of the export control laws, regardless of whether the violations are intentional or inadvertent. This policy is designed to facilitate compliance with these stringent requirements.

III. Applicability of the Policy  

All College employees should be familiar with this policy.

IV. Related Documents  

V. Contacts  

Subject

Office Name

Title or Position

Telephone Number

Email/URL

Questions Regarding the Export Control Policy

Institutional Planning, Assessment and Research

Vice President 

(315) 498-2500

awuaha@sunyocc.edu  

VI. Definitions  

Term

Definition

EAR

U.S. Department of Commerce- Export Administration Regulations

Export

The term “Export” has an expansive definition under the applicable regulations, and depending on the circumstances may include one or more of the following: (a) the actual shipment or transmission of controlled goods, services, information or technology out of the United States; (b) the release or disclosure of such goods, services, information or technology in a foreign country; (c) the exchange, disclosure or availability of such goods, services, information or technology to a foreign national within the United States (a so-called “deemed export” 1) or elsewhere; and (d) the application to situations abroad of personal knowledge or expertise involving such goods, services, information or technology.

ITAR U.S. Department of State- International Traffic in Arms Regulations

OFAC

U.S. Department of Treasury - The Office of Foreign Assets Controls

VII. Procedures  

The College is prohibited from transferring controlled goods, services, information or technology, as set forth in the EAR, outside of the United States, or to foreign nationals inside or outside of the United States, without a license. The prohibition includes in particular, but is not limited to, transfers to Cuba, North Korea, Iran, Syria and Sudan or to any foreign nationals of these countries. In addition, the College is prohibited from transferring controlled goods, services, information or technology as set forth in the EAR to any person or entity on the U.S. Department of Commerce Denied Persons, Entities and Unverified Lists, or on the U.S. Department of Treasury’s lists of Specially Designated Nationals, Specially Designated Narcotics Traffickers or Specially Designated Terrorists, as the same may be revised from time to time, or for use with chemical or biological weapons, sensitive nuclear end-users or missiles. Reference the U.S. Department of Commerce Denied Persons, Entities and Unverified Lists and The U.S. Department of Treasury’s lists of Specially Designated Nationals, Specially Designated Narcotics Traffickers or Specially Designated Terrorists for more information.

The College requires all faculty and staff to comply with the export control laws. The Office of Multicultural & International Services (“MIS”) is available to help employees determine whether their actions are within the scope of the law. Any employee who is in doubt as to whether a particular activity is covered by the export control laws must contact MIS who will assist the employee in determining whether his/her planned activity is subject to the export control laws, and if so, whether licensing is required. Where necessary and appropriate, MIS will attempt to obtain a license to enable compliance with the export control laws. The licensing process can take several months; as a result, employees are encouraged to contact MIS as early as possible to avoid undue delays in your research.

The export control laws are very complex and may require in-depth analysis in order to determine whether a license will be required in a particular situation. The College does not expect its personnel to become experts in these laws, but it does expect its employees to become familiar with the requirements in their respective areas of responsibility and to seek help from MIS when necessary.

 

1 All foreign nationals present in the U.S. are subject to the “deemed export” rule, except foreign nationals who are granted permanent residence as demonstrated by the issuance of a permanent resident visa, U.S. citizenship, or status as a “protected person” under 8 U.S.C. §1324b(a)(3) (i.e. political refugees and political asylum holders). This includes all persons present in the U.S. as tourists, students, business-people, scholars, researchers, technical experts, sailors, airline personnel, salespeople, military personnel, diplomats, etc.

 

Approved by OCC Board of Trustees April 3, 2006

Updated and approved by the President January 25, 2010